Form CRS

Bryant Park Capital Securities, Inc. 
Regulation Best Interest: Form CRS

 

Is the establishment of a Securities Brokerage Relationship Right for You?

There are different ways you can get help with your investments. You should carefully consider which types of securities brokerage relationships and services are right for you.

We are a broker‐dealer which provides private placement brokerage services rather than typical advisory accounts and services. This page gives you a summary of the types of services we provide and how you pay. If you are unclear or uncertain about any information contained in our Form CRS, please ask us for more information. There are some suggested questions below.
x

Relationships and Services.

If you establish a relationship with our firm as an investor, which we refer to as a customer, in a private placement offered by our firm on behalf of an issuer of securities, it is the issuer who will generally pay us a transaction‐based fee, most often referred to as a commission, every time a private placement transaction closes. Such fee would be based on a percentage of the funds we raised from you and, if applicable, other investors. You should be aware that whether directly or indirectly, a part of the funds you invest in a private placement may be used by the issuer to pay some or all of our fee. You should confirm with the issuer directly and also refer to the private placement documentation you are provided to further ascertain how your funds shall be used by the issuer. At times, we may assist you in selling your ownership interest in a privately held security and we would in such event charge you a fee directly.

As a customer (an investor) the ultimate investment decision as to your investment strategy and the purchase or sale of investments will be yours.

Our Obligations to You.
We must abide by certain laws and regulations in our interactions with you.

We must act in your best interest and not place our interests ahead of yours when we recommend an investment or an investment strategy involving securities. When we provide any service to you, we must treat you fairly and comply with a number of specific obligations. We do not offer, nor are we required to provide ongoing monitoring of your investments.

Our interests can conflict with your interests. When we provide recommendations, we must tell you about any conflicts and either eliminate or mitigate them, depending on your individual circumstances.


Fees and Costs. 
Feeds and costs can affect the value of your investment.

Our firm does not have one specific fee but rather a range of fee percentages which varies based upon our specific agreement with each client (an issuer of securities). This range can also include a sliding scale of fees charged to the client on a pro rata basis depending upon the amount of funds raised on the client’s behalf. As stated above, we do not normally charge fees to investors in private placements.
x

Account Monitoring Services

Our firm does not open accounts or hold client's investments, and therefore does not offer account monitoring services.
x

Conflicts of Interest. We benefit from our recommendations to you.

As mentioned above, we may at times receive equity of the issuer (our client) in addition to or in lieu of cash compensation.

We may at times sell investments that are sponsored by an affiliate company. Therefore, at such times we would not off your investments of other sponsors that may also be suitable for you to consider.
x

Additional Information. We encourage you to seek additional information.

We currently do no have legal and disciplinary events.

The primary contact person responsible for the client or customer relationship with our firm is Joel Magerman, COO. He can further explain the Firm's legal obligations to you.

Visit Investor.gov for a free and simple search tool to research our firm and our financial professionals. For additional information about our registered representatives and services, visit Investor.gov, BrokerCheck, and other pages of our website.

To report a problem to the SEC, visit Investor.gov or call the SEC's toll-free investor assistance line at (800) 732-0330. Call 301-590-6500 to report a problem to FINRA. If you have a problem with your investments, account or financial professional, contact us in writing at 489 5th 16th Floor, New York, NY 10017.

You may call us at (212) 798-8200 if any of this information is unclear or if you have nay questions on its contents.
x

Key Questions to Ask. Ask our financial professionals these key questions about our private placement brokerage services.

1. As an investor in a private placement should I expect to be charged a direct fee by your firm?

2. Tell me how you and your firm are compensated in connection with my engagement with your firm in my capacity as an investor in private placement securities? Do you or your firm receive any payments from anyone besides me in connection with my investments?

3. What are the most common conflicts of interest in your private placement offerings as they relate to me, as an investor in private placement securities? Explain how you will address those conflicts when providing services to my account.

4. How will you choose investments you recommend to me?

5. Do you or your firm have a disciplinary history? If so, for what type of conduct?

6. What is your relevant experience, including your licenses, education, and other qualifications? Please explain what the abbreviations in your licenses are and what they mean.

7. Who is the primary contact person responsible for the client or customer relationship with your firm? What can you tell me about his or her legal obligations to me? If I have concerns about how this person is treating me, who can I talk to?