Arctic Securities LLC, a US-registered broker-dealer and subsidiary of Arctic Securities AS, provides its clients with corporate and investment banking solutions. Arctic Securities LLC is registered with FINRA and is a member of SIPC.
The Arctic Group is a leading, independent provider of financial services. Arctic has an extensive global network connecting clients from around the world, and the Arctic group of companies comprises investment banking services, ship- and offshore brokerage, asset management and insurance brokerage.
As per FINRA Rule 2267, all customers, clients and investors are permitted to access BrokerCheck, a FINRA based tool which provides the public with information on the professional background, business practices, and conduct of FINRA-member firms and their associated persons when considering whether to work with a new investment professional or Firm. To view information about Arctic Securities LLC, please click on the following link and type in the Firms name or the individuals name or Central Registration Depository ("CRD") number to perform your search. Arctic Securities LLC's CRD is "174423".
Telephone: (800) 289-9999
P. O. Box 9401
Gaithersburg, Maryland 20898-9401
Fax: (301) 212-8137
The FINRA BrokerCheck publishes a free investor brochure that is available by contacting FINRA at the above telephone number or address.
To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.
What this means for you: When you apply for or open an account, we will ask for your name, address, date of birth, and other information that will allow us to identify you. We may also ask to see your driver's license or other identifying documents. Similar identification requirements apply to business entities such as corporations and partnerships.
USA Patriot Act Notice
To help the U.S. government prevent 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 or establishes a customer relationship with us. What this means: If you enter into a new customer relationship with us, we may ask for identification information relating to you and your related parties, including names, addresses and dates of birth (as applicable). This information will be used to verify your identity and the identities of your related parties. As appropriate, Arctic Securities LLC may, in its discretion, ask for additional documentation or information. If all required documentation or information is not provided, we may be unable to open an account or establish a relationship with you.
Arctic Secuities LLC (ARSC) has prepared this report pursuant to a U.S. Securities and Exchange Commission rule (§240.11Ac1-6 / §242.606) requiring all brokerage firms to make available to the public quarterly reports about their routing practices. The report provides information on the routing of “non-directed orders” – any order that the customer has not specifically instructed to be routed to a particular venue for execution. For these non-directed orders, ARSC has selected the execution venue on behalf of its customers. Note that all order flow originating from the account of a broker-dealer other than ARSC has been excluded from this report per the 606 guidelines. The report is divided into four sections: 1. CLEARPOOL EXECUTION SERVICES, LLC 2. MERRIL LYNCH 3. UNKNOWN VENUE. For each section, this report identifies the venues most often selected by ARSC and sets forth the percentage of various types of orders routed to the venues. This report has been reviewed by TAG, (Transaction Audit Group) a third party market surveillance and auditing firm. Questions regarding this report should be addressed to the ARSC Compliance Department at (212) 597-5555.
4th Qtr 2019
|Non-Directed Orders||Market Orders||Limit Order||Other Orders||Material Aspects of Relationship|
|Total Arctic Securities LLC Orders||100.00 %||0.00 %||0.00 %||100.00 %|
|Orders Routed To:|
|CLEARPOOL EXECUTION SERVICES, LLC||51.57 %||0.00 %||0.00 %||51.57 %||No B-D Supplied Information|
|MERRILL LYNCH & CO., INC.||30.49 %||0.00 %||0.00 %||30.49 %||No B-D Supplied Information|
|UNKNOWN VENUE||16.59 %||0.00 %||0.00 %||16.59 %||No B-D Supplied Information|
Main Office Location:
Arctic Securities LLC
1 Rockefeller Plaza
New York, NY 10020