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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.
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
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.
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.
Coronavirus Disease (COVID-19)
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
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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