Regulatory

No Offers or Reliance

The information on this Site is for informational purposes only. No material on this Site shall be used or considered as an offer to sell or a solicitation of any offer to buy the securities or services of Configure Partners, LLC (“Configure,” “we” or “us”) or any issuer. Offers can only be made where lawful under, and in compliance with, applicable law. The information contained in this Site has been prepared without reference to any particular user’s investment requirements or financial situation. Decisions based on information contained on the Site are the sole responsibility of the visitor. The information and services provided on this Site are not provided to and may not be used by any person or entity in any jurisdiction where the provision or use thereof would be contrary to applicable laws, rules or regulations of any governmental authority or regulatory or self-regulatory organization or clearing organization or where Configure is not authorized to provide such information or services. We make no representations that transactions, products or services discussed on this Site are available or appropriate for sale or use in all jurisdictions or by all investors. Those who access this Site do so at their own initiative and are responsible for compliance with local laws or regulations. While we use reasonable efforts to obtain information from reliable sources, Configure makes no representations or warranties as to the accuracy, reliability or completeness of any information or document at this Site obtained outside of us. Opinions and any other contents at this Site are subject to change without notice. Configure is not utilizing this Site to provide investment or other advice, and no information or material at this Site is to be deemed a recommendation to buy or sell any securities or is to be relied upon for the purpose of making or communicating investment or other decisions. Any transactions listed on this Site are included as representative transactions and are not necessarily reflective of overall performance. Nothing on this Site constitutes investment, legal or tax advice and we do not advise on the tax consequences of any investment.

Equal Employment

We are committed to the principles of equal employment opportunity and does not discriminate against any employee or applicant for employment because of race, color, religion, gender, national origin, veteran status, disability, age, citizenship, marital status, sexual orientation or because of any other criteria prohibited under controlling federal, state or local law.

Jurisdictional Issues

Unless otherwise specified, the materials in or accessible through the Site are directed at residents of the United States, its territories, possessions and protectorates. The Site is controlled and operated by us from our offices within the State of Georgia, United States of America. Configure makes no representations that materials in or accessible through the Site are appropriate or available for use in other locations or that access to them where their content is located is not illegal and prohibited. Those who choose to access the Site from other locations do so on their own initiative and are responsible for establishing the legality, usability and correctness of any information or materials under any or all jurisdictions and the compliance of that information or material with local laws, if and to the extent local laws are applicable. You may not use or export the information or materials in violation of U.S. export laws and regulations. The information provided in or accessible through the Site is not intended for distribution to, or use by, any person or entity in any jurisdiction or country were such distribution or use would be contrary to law or regulation or which would subject Configure to any registration or other requirement within such jurisdiction or country. Configure reserves the right to limit access to the Site to any person, geographic region or jurisdiction.

Governing Law and Consent to Jurisdiction

These terms and your use of the Site shall be governed by the laws of the United States of America and the State of Georgia without regard to its conflicts of laws principles. Any legal action or proceeding related to this Site shall be brought exclusively in a federal or state court of competent jurisdiction sitting in Georgia.

Regulatory Matters

Configure provides securities-related services through our affiliate, Configure Partners Securities, LLC member FINRA/SiPC. Principals of Configure Partners, LLC are registered representatives of Configure Partners Securities, LLC.  Assignments shown herein were conducted by Configure professionals while at Configure or while at prior employers.

Customer Complaint Notice Disclosure Statement – SEC Rule 17a-3(a)(18)(ii)

Configure, in accordance with Rule 17a-3(a)(18)(ii), is furnishing this statement to provide you with a name, telephone number and address, if you ever need to report or notify us of a possible complaint. If, for any reason, you feel you have a complaint, please contact our Chief Compliance Officer immediately at: Configure Partners, LLC 3340 Peachtree Rd. NE, Suite 1010 Atlanta, GA 30326

Arbitration

By using the Site, you agree that Configure, at its sole discretion, may require you to submit any disputes arising from the use of the Site, related services or these Terms and Conditions of Use concerning or, including disputes arising from or concerning their interpretation, violation, nullity, invalidity, non-performance or termination, as well as disputes about filling gaps in this contract or its adaptation to newly arisen circumstances, to final and binding arbitration under the International Rules of Arbitration of the American Arbitration Association, by one or more arbitrators appointed in accordance with the said rules. Notwithstanding these rules, however, such proceeding shall be governed by the laws of the state as set forth in the previous section.

Business Continuity Plan – Customer Disclosure Statement

Configure Partners Securities, LLC plans to quickly recover and resume business operations after a significant business disruption (SBD) 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 company’s business continuity plan (BCP) is designed to permit us to resume operations as quickly as possible, given the scope and severity of the SBD.

The BCP 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.

The product sponsor or issuer maintains all records related to your investments and account holdings and backs up important records in accordance with their business continuity plan. For more information on their contingency plan, please contact the sponsor or issuer directly at the telephone number provided in offering documents or through their website.

Significant Business Disruptions: The Company’s plan takes into account two kinds Significant Business Disruptions, internal and external.  Internal SBDs affect only the Company’s ability to communicate and do business, such as a fire or loss of electrical power in the office or building.

External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a natural disaster, or another event that causes a wide-scale, regional disruption in essential services.

Internal SBDs: In the event of a disruption in the Company’s business operations due to an internal SBD, the Company will attempt to continue to conduct business as usual by utilizing alternative communication methods (if available), such as the Internet, cell phones, etc., or by moving its operations to an alternative location.

If personnel or operations must be moved to an alternate location, the Company anticipates that it will resume regular operations with 2-4 hours.

External SBDs: In the event of a disruption in the Company’s business operations due to an external SBD, the Company will attempt to continue to conduct business as usual by moving its operations to an alternative location outside the effected area, if possible, or by providing customers with alternative communication arrangements, as indicated below, to conduct business or to access their funds and securities.

The Company will attempt to resume business within 24-48 hours and to keep its customers informed regarding relevant events to the best of its ability based on the circumstances.

In all cases, the Company will resume normal business operations as soon as it is able to do so, based on the type and the extent of the disrupting event. 

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. 

Communications: In the event you are unable to reach the Company at our main number, please proceed as follows :

  1. Contact the Company at the following alternate telephone number: 404-536-0690 or 571-238-6013
  2. Access the Company’s website at www.configurepartners.com.
  3. Contact the private placement issuer directly at the number listed on applicable offering documents. 

Contact information: Any questions regarding the Company’s Business Continuity Plans should be addressed to: Jay Jacquin, Configure Partners Securities, LLC, 470 Old Ivy Rd. NE, Atlanta, GA 30342 or by telephone at 404-536-0690 or email at jjacquin@configurepartners.com.