Regulatory Disclosure

  • Customer Identification Program

    To help the government fight the funding of terrorism and money laundering activities, federal law requires all U.S. financial institutions to obtain, verify, and record information that identifies each individual or institution that opens an account. In order to establish an account relationship with Ducera, you will need to provide us with certain information regarding the identity of the person or legal entity opening the account. Institutional accounts will need to provide organizational documents, information about persons authorized to act for the account and may be required to provide information about the institution’s beneficial owners. If you fail to provide the required information, we may be unable to open an account or establish a business relationship with you. We may be required to disclose this information pursuant to applicable laws, rules or regulations, but it will otherwise be retained in confidence according to our Privacy Policy.

  • Business Continuity Plan

    Ducera has established a plan to manage the effects of a significant emergency disruption of our business operations. For more information about our business continuity planning, please visit: Ducera Securities LLC – Business Continuity Plan.

  • Anti-Money Laundering Policy

    In accordance with FINRA Rule 3310, and in an effort to comply with the applicable requirements under the USA PATRIOT Act and the Bank Secrecy Act, Ducera Securities LLC has established policies and procedures for the purpose of attempting to deter and detect money laundering activities by customers. For more information about our Anti-Money Laundering policy, please visit: Ducera Securities LLC – Anti-Money Laundering Policy