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Copyright and Other Notices

If you download any information or software from this site, you agree that you will copy it or remove or obscure any copyright or other notices or legends contained in any such information.

Privacy Policy (Regulation S-P)

GENERAL INFORMATION


Regulation S-P governs how broker/dealers collect and treat client's private, non-public information. As such, DMERC will comply with Regulation S-P (Privacy Policy) which requires all financial institutions to notify its customers of its intentions with respect to collecting, maintaining and distributing a client's private, non-public information.


DMERC's Role


At DMERC, when customers complete documentation for transactions we must collect private, non-public information pertaining to the customer. This information  is recorded within various documents and is ultimately stored in our data bases at our corporate headquarters.


DMERC utilizes non-public information of its customer in order to facilitate and settle transactions on behalf of its customers which includes the transfer of funds. All associates of DMERC know that it is strict policy to not share and/or distribute the private, non-public information of any person to its affiliates, subsidiaries and/or non-affiliated third parties unless required by law.


CUSTOMER DISTRIBUTION OF THE POLICY


It shall be the policy of  DMERC to distribute its Privacy Policy on  two separate and  distinct occasions. First,  the firm shall submit the policy to those customers opening a new account with the firm. Secondly, the policy shall be distributed to all current customers on an annual basis. The annual notification will be accomplished by submitting a blanket mailing which includes the firm's policy. The mailing will be distributed to all existing customers between the months of October and February. Furthermore, the  firm shall maintain a link on its web-site which directs readers to the firm's Privacy Policy. The contents of the link are listed below (POLICY CUSTOMERS).


OPT-OUT NOTIFICATIONS


Since the firm will never share the sensitive information collected from its customers - an "opt-out notification" to its customers is not necessary. Should the firm change its sharing policies, the procedures shall be revised accordingly and all customers will be notified. 

PRIVACY POLICY

POLICY TO CUSTOMERS

YOUR PRIVACY IS OUR POLICY


DMERC is committed to maintaining your personal information in a highly confidential manner. This page describes our Privacy Policy as it applies to how we collect, maintain and protect private, non-public information when you open an account with DMERC. Please know that this policy applies to all former, current and new customers.


WHY DO WE COLLECT PERSONAL INFORMATION


When you apply for and/or open an account with DMERC, we collect personal information about you for various purposes. Certain regulatory requirements mandate that information be collected by us so that we may make proper evaluations with respect to your financial needs. Furthermore, the Patriot Act requires  that we collect specific information in an effort to fight money-laundering. For more information regarding the Customer Identification Program and the information that we collect, please click here.


HOW DO WE PROTECT YOUR INFORMATION


When you engage in transaction through DMERC, the information obtained by our company will be maintained in the strictest confidence and stored in  secure databases which are exclusive to certain DMERC personnel and inaccessible to outside parties. The persons with access to your information will be limited to personnel dedicated to servicing your account.


OUR SHARING PRACTICES


DMERC has never and will not provide your personal and sensitive information to affiliates, subsidiaries and/or non-affiliated third parties unless required by law. We do not wish to  reserve the right to disclose, nonpublic personal information to affiliates or nonaffiliated third parties, except to nonaffiliated parties as authorized by law. Essentially, this means with anyone. "Required by law" may include regulatory investigations which mandate that we provide specific information to investigators for purposes of cooperating with their investigation.


IS YOUR INFORMATION ACCURATE (FOR EXISTING CUSTOMERS)?


When you transact business with DMERC, you will receive a copy of all documentation which contains the information you provided to us. In order to ensure that our files are complete and accurate, we invite you to provide us with any updates and/or additions to your personal information.

Should you have any questions regarding our Privacy Policy, please send all correspondence to:


D-MERC Services

Attn: Privacy Policy

375 Balsam St

Lakewood, CO  80226



Use of Links

In the event a user leaves this web-site via a link contained herein, and view content that is not provided herein by DMERC, the viewer does so at its own volition and risk. The content to which a user of this web-site links to another web-site has not and will not have been developed, checked for accuracy, or otherwise reviewed by DMERC. DMERC is not responsible for damages or losses caused by any delays, defects or omissions that may exist in the services, information or other content provided in such site, whether actual, alleged, consequential or punitive.  


DMERC makes no guarantees or representations as to, and shall have no liability for, any electronic content delivered by any third party, including, without limitation, the accuracy, subject matter, quality or timeliness of any electronic content.

Warranty and Limitation of Liability

The information provided by D-Merc Services LLC ("DMERC") on this web-site is provided "as is." DMERC does not warrant the accuracy of the materials provided herein, either expressly or impliedly, for any particular purpose and expressly disclaims any warranties of merchantability or fitness for a particular purpose. DMERC will not be responsible for any loss or damage that could result from interception by third parties of any information made available to you via this site. Although the information provided to you on this site is or was obtained or compiled from sources we believe to be reliable, DMERC cannot and does not guarantee the accuracy, validity, timeliness or completeness of any information or data made available to you for any particlular purpose.


Neither DMERC, nor any of its affiliates, directors, officers or employees, nor any third party vendor will  be liable or have any responsibility of any kind for any loss or damage that you incur in the event of any failure or interruption of this site, or resulting from the act or omission of any other party involved in making this site or the data contained therein available to you, or from any other cause relating to your access to, inability to access, or use of the site or these materials, whether or nto the circumstances giving rise to such cause may have been within the control of DMERC or of any vendor providing software  or services support. In no event will DMERC, its affiliates or any such parties be liable to you for any direct, special, indirect, consequential, incidental damages or any other damages of any kind even if DMERC or any other party have been advised of the possibility thereof.

CORONA VIRUS DISEASE (COVID-19)

 

 

Coronavirus Disease (COVID-19) 

  • We want to provide a note to all of our vendors, business partners, customers and regulatory allies to provide some information as to how D-Merc Services (“D-Merc”) is responding with respect to COVID-19.  COVID-19 is continuing to evolve and is affecting Americans and nations around the world. We are doing everything we can to ensure  that our operations are fully effective while providing maximum flexibility with safety being our main concern. 
  • Pandemic Contingency Plan 
  • The safety and security of our team members remains our highest priority. We take great pride in maintaining the highest standards of cleanliness and hygiene. In response to the coronavirus, we have implemented our Pandemic Contingency Plan which means we have taken additional measures to ensure that we continue to operate as “business as usual” while keeping the safety and health of our associates our top priority.  Some steps we have taken include: 
  • 1.     Provide training to all workers on workplace, personal and family protection and actions that must be taken as a pandemic develops. 
  • 2.     Encourage associates to take care of their health first. 
  • 3.     Instituted policies which allow our associates to work remotely. 
  • 4.     Stockpile essential supplies, materials and equipment. 
  • 5.     Determined which services or functions can be carried out by other work sites. 
  • 6.     Organized timelines which demonstrate how long it will be possible for D-Merc to carry out its essential operations without critical personnel, supplies and/or equipment. 
  • 7.     Increase  associates’  awareness  of  the  company’s  infection  control  materials,  especially  the provision of hand hygiene products. 
  • At D-Merc, we know these are challenging times and will continue to provide the effort and services you have come to expect from our company. 

Customer Relationship Summary

Introduction 

November 28, 2022


D-Merc Services, LLC (“D-Merc” or “We”) is registered with the U.S. Securities and Exchange Commission (“SEC”) as a broker-dealer and is a member of the Financial Industry Regulatory Authority (“FINRA”) and the  Securities Investor Protection Corporation (“SIPC”). Brokerage and investment advisory services and fees  differ, and it is important for you to understand these differences. 


Free and simple tools are available to research firms and financial professionals at  https://www.investor.gov/CRS, which also provides educational materials about broker- dealers, investment  advisers, and investing.  


What Investment Services Can You Provide Me?  


D-Merc offers limited brokerage services to retail investors. Through its proprietary auction platform, D-Merc  offers a secondary market for certain DPPs, as well as limited partnership interests and REITs. D-Merc does  not make recommendations to its customers or offer investment advice. We do not have any account  minimums as no positions or funds are held for any customer in any customer account. Customers who effect  a transaction with D-Merc make the ultimate decision regarding the purchase or sale of investments. Furthermore, we do not hold customer funds or securities, do not carry accounts of or for retail investors, and  do not manage or monitor a retail investor’s account. D-Merc does not purchase any securities into it's own  inventory nor does it own any securities. D-Merc does not bid on any auctions. 


More information about D-Merc can be found on its website at www.d-mercservices.com. 


Questions to Ask Your Financial Professional: 


         • Given my financial situation, should I choose a brokerage service? Why or why not? 


         • What is your relevant experience, including your licenses, education and other qualifications?   What do these qualifications mean?” 


What Fees Will I Pay? 


A customer of D-Merc’s will pay commissions to the firm and its brokers for each transaction. These commissions do not exceed 10% of the total transaction value, both buy and sell side are considered in the  total transaction value, with a minimum commission charge of $100 for each side where D-Merc acts as  agent for the customer. Since the customer pays commission for each transaction, the more transactions a  customer completes, the more total commissions paid to D-Merc and its brokers. Additionally, a fee may be  charged for transaction processing which is paid to D-Merc or its brokers. Issuer transfer fees and/or for  escrow agent services may also be charged at cost and passed on from those entities.  You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce  the amount of money you make on your investments over time. Please make sure you understand what fees  and costs you are paying.


 Questions to Ask Your Financial Professional: 


            • Help me understand how these fees and costs might affect my investments. If I give you $10,000     to invest, how much will go to fees and costs and how much will be invested for me?    


What are your legal obligations to me when providing recommendations? How else does your  firm make money and what conflicts of interest do you have? 


We do not provide recommendations. The way we make money creates some conflicts with your  interests. You should understand and ask us about these conflicts because they can affect the services  we provide you. Here is an example to help you understand what this means. 


Dual Agency- Sometimes we represent both buyers and sellers in transactions. Both buyers and sellers  will pay D-Merc commissions and transaction fees. This dual agency will be disclosed on your  confirmation and agreement. 


Questions to Ask Your Financial Professional: 


          • How might your conflicts of interest affect me and how will you address them? 


                                         How Do Your Financial Professionals Make Money? 


D-Merc’s professionals are compensated through commissions only. It is in these professionals interest to sell securities offerings as it increases their own compensation. As noted earlier, D-Merc’s professionals do not make recommendations to D-Merc customers. D-Merc's professionals do not solicit customers. 


       Does D-Merc or any of its Financial Professionals have any Legal or Disciplinary History?  


Yes. We recommend that D-Merc investors review background information about D-Merc's professionals at https://www.investor.gov/CRS and https://brokercheck.finra.org. 


Questions to Ask Your Financial Professional:  


         • As a financial professional, do you have any disciplinary history? For what type of conduct? 


                          Additional Information 

For additional information about D-Merc’s services, or to receive a copy of Form CRS, call (720)  360-4784. You may find out more about D-Merc at https://d-mercservices.com/ 


Questions to Ask Your Financial Professional:  

           • Who is my primary contact person? 

           • Who can I talk to if I have concerns about how this person is treating me? 

           • Is he or she a representative of an investment advisor or a broker dealer? 



CONTACT D-MERC SERVICES                                                                                DISCLAIMER         

                                                                                                                              

                                     Direct: 720-360-4784                                                                      Securities offered through D-Merc Services LLC

Fax: 303-716-7238                                                                                                  Member FINRA/SIPC


                                                                            Broker Check 

                                     

info@d-mercservices.com                                                           Customer Relationship Summary

                                   

                 375 Balsam St                                                                                   Important: Alternative and illiquid Private 

                                   Lakewood, CO  80226                                                                       Placement investment products traded  herein  

                                                                                                                                           are not FDIC insured or bank guaranteed and 

                                                                     may lose value



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