Notices
Disclaimer for Crescendo Markets LLC., Member FINRA, SIPC and SEC
This website is for informational purposes only and does not constitute an offer or solicitation by Crescendo Markets LLC (“Crescendo Markets”) to buy or sell securities, nor does it provide investment advice or services. This site does not represent an offer to sell or a solicitation to buy securities in any jurisdiction where such an offer or solicitation would be unlawful under applicable securities laws.
Crescendo Markets may participate in investment transactions, including private placements, pre-IPO investments, and capital markets transactions, and may receive remuneration in the form of fees, warrants, or other consideration for these services.
Crescendo Markets and its affiliates may, from time to time, hold positions in securities of issuers with whom we engage. Transactions conducted by the firm may involve investments in private equity, structured finance, and alternative asset classes.
Crescendo Markets has participated in over 600 private and public market transactions alongside leading Wall Street and global financial institutions, leveraging its market expertise to optimize capital deployment.
Privacy Policy
Crescendo Markets collects nonpublic personal information from:
- Information received on applications or other forms.
- Transactions conducted with us or our affiliates.
- Due diligence processes and regulatory compliance requirements.
We do not disclose nonpublic personal information except as required by law or for regulatory compliance. We restrict access to this information to authorized personnel only and maintain physical, electronic, and procedural safeguards to protect client data.
Business Continuity Disclosure Statement
Crescendo Markets maintains a Business Continuity Plan (BCP) to ensure operational stability during potential business disruptions. The plan includes data security, financial and operational risk assessments, and alternative communication procedures.
In the event of a significant disruption, clients may contact us at:
Primary Contact: +1 (646) 443-6700
Email: bcp@crescendomarketsllc.com
Essential client records are maintained by third-party custodians and financial counterparties to ensure accessibility during emergency scenarios.
Anti-Money Laundering (AML) & USA Patriot Act Compliance
As a registered financial services provider, Crescendo Markets complies with the USA PATRIOT Act and global anti-money laundering (AML) regulations. Our compliance program includes:
- Client identity verification and due diligence
- Monitoring and reporting of suspicious activity
- Training and annual independent audits
Federal law requires us to obtain, verify, and record identifying information for all individuals and entities establishing a relationship with Crescendo Markets.
Electronic Communication & Email Disclaimers
Emails sent or received by Crescendo Markets may be monitored for compliance with internal policies and regulatory requirements. Any views expressed in firm communications are subject to change and do not constitute an offer or investment recommendation.
Confidentiality & Legal Notice
This email and any attached documents contain confidential and proprietary information intended only for the recipient. If you are not the intended recipient, please delete this message immediately and notify the sender. Unauthorized use, disclosure, or distribution is strictly prohibited and may be unlawful.
Use of Links & Third-Party Information
Crescendo Markets provides external links for informational purposes only and does not endorse or verify third-party content. We are not responsible for any loss resulting from reliance on third-party information.
Patriot Act
Overview and Purpose
The Patriot Act (the “Act”) was a response by the United States Government to the attacks of terrorists on September 11, 2001. The objective of the Act is to help prevent the United States financial system and markets from being used to fund terrorism and other criminal activities by, among other things, requiring that broker dealers of securities and financial institutions take certain measures and actions in furtherance of national efforts to detect suspicious transactions and money laundering activities by their clients. Money laundering is one or more steps taken to disguise or hide money illegally obtained or used in carrying out other illegal activities to create the appearance that those monies were obtained or used, directly or indirectly, from law abiding persons, legal sources and legally permitted activities. The use of money laundering is not confined to terrorists, but rather includes a wide array of criminal activity, including such things as the sale of illegal arms and other black market transactions, illicit trafficking in narcotics, racketeering and racketeer-influenced conduct, robbery and fraud.
In compliance with the Act, Crescendo Markets LLC. has instituted policies and procedures in a detailed anti-money laundering compliance program (the “Program”), which includes i) designation of a special anti-money laundering compliance officer (called an “AML Officer”), ii) detection and reporting of suspicious transactions to the United States government, iii) a specialized training program for Crescendo Markets LLC. personnel in identifying “red flags” that may indicate suspicious or possible money laundering activity, iv) continuing education requirements for such personnel in anti-money laundering practices and procedures and v) annual independent audits of the effectiveness of the Program.
The Need to Obtain Clients’ Personal Information
It is important for clients to understand that the Act and regulations promulgated pursuant to it also requires broker-dealers and financial institutions to obtain and verify the correctness of their clients’ personal information, including i) actual identities (proved by such things as taxpayer identification numbers, social security numbers or (in other countries) similar documentation, and motor vehicle operator licenses, ii) the source of funds deposited into client accounts, and iii) how clients obtained their wealth.
Crescendo Markets LLC. appreciates the cooperation and assistance of its clients in carrying out its legal obligations under the Act and the fight against terrorism, criminal enterprises and money laundering activities.
Important Information About Procedures for Establishing A Relationship With Crescendo Markets LLC.
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 establishes a relationship with Crescendo Markets LLC. What this means for you: When you establish a relationship with Crescendo Markets LLC., we will ask for your name, address, date of birth, tax identification number and other information that will allow us to identify you. We may also ask to see your driver’s license or other identifying documents.
Firm Email Disclaimers
Crescendo Markets LLC. is a financial services headquartered in Hartford, CT. Crescendo Markets LLC. provides investment firm and related financial services to professional investors, professional money managers and businesses.
All electronic messages sent and received by Crescendo Markets LLC. associates are subject to review by Crescendo Markets LLC., its accountants and regulatory agencies or through firms conducting anti-money laundering audits. Crescendo Markets LLC. may retain and reproduce electronic messages for national, state, federal, or other regulatory agencies as required by applicable law.
Any content in the firm’s emails that could be construed as market commentary or sales literature is commentary and/or strategic ideas provided to Crescendo Markets LLC. clients, based upon information available to the general public. Our emails may contain links to or information from third parties. Crescendo Markets LLC. shall not be held responsible for the content or accuracy of any third-party link or information, nor will it be held responsible for any loss or damage caused by you placing reliability on this third-party information. Although the information contained herein has been prepared from sources believed to be reliable, it is not guaranteed by Crescendo Markets LLC., and is not a complete summary or statement of all available data, nor is it considered an offer to buy or sell any securities referred to herein. Past performance is not indicative of future returns.
Any opinions or recommendations expressed herein are solely those of the author or analyst and are subject to change without notice. Unless otherwise specifically indicated, the content of this communication is for informational purposes only and should not be regarded as an offer to sell or a solicitation of an offer to buy any securities, futures, options, loans, investment products, or other financial products or services, an official confirmation of any transaction, or an official statement of Crescendo Markets LLC. or any of its affiliates. Crescendo Markets LLC. is not an advisor as to legal or taxation matters in any jurisdiction, and this email is not providing any such advice to the recipient.
Confidentiality Notice
This email message is private, confidential property of the sender, and the materials may be privileged communications. This email is intended solely for the receipt, use, benefit, and information of the intended recipient indicated above, and it may not be reproduced, retransmitted, circulated, or exploited without the express written consent of Crescendo Markets LLC. If you are not the intended recipient, you are hereby notified that any review, disclosure, distribution, copying, or taking of any other action in reference to the contents of this message is strictly prohibited and may result in legal liability on your part. Confidentiality is not waived by mistaken transmission. If you have received this message in error, please notify the sender immediately and delete this message from your system. Internet communications are not secure, and therefore, Crescendo Markets LLC. and its affiliates do not accept legal responsibility for the contents of this message. We believe that this email and any attachments are free of any virus or other defect that might affect any computer system in which it is received or opened; however, it is the responsibility of the recipient to ensure that this email and any of its attachments are virus-free, and the sender accepts no responsibility for any loss or damage. Outgoing and incoming emails and their attachments may be monitored to ensure compliance with law, regulations, or internal policies.
This communication is not intended for distribution to, or use by, any person or entity in any location where such distribution or use would be contrary to law or regulation, or which would subject Crescendo Markets LLC. or any affiliate to any registration requirement within such location. Each user of the information in this email from any location does so on his or her own initiative and at his or her own risk and is responsible for compliance with all applicable local laws.
Use of Links
This website may contain links to and be linked from third-party websites. These links are provided only as a convenience. The inclusion of any link is not and does not imply a sponsorship, endorsement, approval, investigation, verification or monitoring by Crescendo Markets LLC. of any information contained in any third-party website. In no event shall we be responsible for the information contained on that site or your use of or inability to use such site.
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