Legal and Regulatory Center

Securities products and services, including execution services, are offered in the United States by Alphaledger Markets, Inc. (“Alphaledger Markets”), a wholly owned subsidiary of Alpha Ledger Technologies, Inc. (“Alphaledger”).

Both Alphaledger and Alphaledger Markets are not registered, and do not intend to register, as a municipal advisor and therefore do not provide advice with respect to the investment of the proceeds of municipal securities or municipal escrow investments. In addition, unless otherwise agreed by Alphaledger, this communication and any related content are being provided on the express basis that they will not cause Alphaledger, or its affiliates, to become an investment advice fiduciary under ERISA or the Internal Revenue Code.

To the fullest extent permitted by applicable law, all warranties and representations are disclaimed. All information presented herein is considered to be accurate at the time of writing, provided "as is" with no express or implied representations or warranties—including without limitation in relation to fitness for purpose, accuracy, or completeness of contents—and is only intended to provide an overview of the subject matter and not an exhaustive treatment thereof. Any information presented is not intended to represent an offer or solicitation of any financial instrument.

Trademarks

Alphaledger’s name and all related names, logos, product and service names, and designs and slogans (whether belonging to Alphaledger or any of its affiliates) are trademarks of Alphaledger. You may not use such marks without the prior written permission of Alphaledger. All other names, logos, product and service names, designs, and slogans on this Site are the trademarks of their respective owners.

Alphaledger Markets Disclosures

Client Education and Protection:
Alphaledger Markets is a registered broker-dealer with the U.S. Securities and Exchange Commission and the MSRB. An investor brochure is available on the MSRB’s website, www.msrb.org, which describes the protections that may be provided by the MSRB rules and how to file a complaint with an appropriate regulatory authority.

Alphaledger Markets is a member of the Financial Industry Regulatory Authority (FINRA), Municipal Securities Rulemaking Board (MSRB), and the Securities Investor Protection Corporation (SIPC).

FINRA BrokerCheck and Form CRS:
You can find more information about Alphaledger Markets at FINRA BrokerCheck and on FINRA Form CRS.

Business Continuity Plan (BCP)

Alphaledger Markets has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us — If after a significant business disruption, you cannot contact us as you usually do, you should call us at (949) 500-8445. If you cannot access us through any of those means, you can send an email to info@alphaledgermarkets.com and send us your account queries, instructions, and other requests.

Our Business Continuity Plan — We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our Business Continuity Plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

Varying Disruptions — Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within four (4) hours.

In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area and recover and resume business within I business day. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer's prompt access to their funds and securities.

If the Securities Investor Protection ("SIPC") determines that we are unable to meet our obligations to our customers or if our liabilities exceed our assets in violation of Securities Exchange Act Rule 15c3-1, SIPC may seek to appoint a trustee to disburse our assets to customers. We will assist the appointed trustee by providing our books and records identifying customer accounts subject to SIPC regulation.

Additional Contacts
Securities Investor Protection Corporation
1667 K St. N.W., Suite 1000
Washington, D.C. 20006-1620
Telephone: (202) 371-8300
Fax: (202) 223-1679
Email: asksipc@sipc.org
Website: https://www.sipc.org

For more information — Should you have any questions concerning our Business Continuity Plan, you may submit a written request for additional information to:

19362 Powder Hill Place., Suite 104A
Poulsbo, WA 98370

or contact us by phone at (949) 500-8445.

Privacy Policy

In accordance with the Gramm-Leach-Bliley Act, all broker-dealers such as Alphaledger Markets, Inc. (“ALM”) are required to provide its customers and consumers a privacy statement, outlining its procedures and policies regarding the safeguarding of “non-public personal information” that is obtained during the normal course of business.

ALM understands your privacy is important and has always been committed to maintaining its customers confidentiality. This notice will help you understand what types of non-public personal information – information about you that is not publicly available – ALM may collect, how it is used, and how your privacy is protected. ALM recognizes that you expect your personal information to be handled in a professional, confidential manner and we have adopted the following policies to safeguard your privacy and to explain the circumstances, under which ALM may collect, maintain, and use any non-public personally identifiable information that you may provide us.

ALM collects non-public information about its customers to help serve their financial needs, provide customer service, offer new products or services, and fulfill legal regulatory requirements.  The type of information we may collect includes but is not limited to:

  • Name, address, social security number, tax identification numbers, assets, and income; and
  • Transaction details (for example, account balance, payment history, or parties to transactions).

ALM does not share non-public personal information about its customers with unaffiliated third parties with whom ALM has no contractual business relationship for their independent use unless (1) the customer gives ALM permission, (2) it is necessary to complete a transaction on the customer’s behalf, (3) it is necessary to protect against fraud, comply with a subpoena or other court order or is otherwise required or permitted by law.  ALM is prohibited from sharing non-public personal information for marketing purposes or for non-business and does not sell information about its customers to outside unaffiliated companies.

Further, access to customer’s personal and account information is restricted to ALM, ALM’s affiliates, and clearing firm employees who require that information to provide products or services to customers. Such parties maintain strict physical, electronic, digital, and procedural safeguards to guard your non-public personal information.

If an account is closed or becomes inactive, ALM will adhere to the privacy policies and practices as described in this notice.

We reserve the right to change these privacy policies at any time. You will receive appropriate notice of changes to our Privacy Policy. You may opt-out of the disclosure of non-public personal information to a non-affiliated third party by giving us notice in writing or e-mail.

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