Updated: August 2, 2022

  1. Business Continuity Plan Disclosure
  2. Capital Statement Disclosure
  3. Disclosure of Payment for Order flow and Order Routing Information
  4. Anti-Money Laundering Customer Information
  5. Privacy Policy Disclosure

Business Continuity Plan Disclosure - Sutter Securities, Inc.

Sutter Securities, Inc. (“Sutter”) is committed to providing uninterrupted service and support to our clients and customers in the event of an emergency or significant disruption of normal business operations.

Sutter has a Tri-party clearing relationship with Herold & Lantern Investments Inc. and Pershing LLC on a fully disclosed basis.

Sutter’s business continuity plan is designed to protect client assets. However, it is impossible to anticipate every possible scenario that may result in an emergency or business interruption. Therefore, our plan is subject to change without notice. Any changes will be posted on our website as soon as possible.

The statements contained in this disclosure statement are for informational purposes only. Nothing in this statement constitutes a change in the terms and conditions of any customer agreement or other agreement.

Capital Statement Disclosure

Sutter Securities, Inc.’s (“Sutter”) principals have contributed significant capital to the firm. In addition, Sutter has access to additional capital, if required. A Tri-party clearing relationship has been established with Lantern Investments Inc. and Pershing, LLC which allows Sutter to clear all of its trades on a fully disclosed basis.

Disclosure of Payment for Order flow and Order Routing Information

The Securities and Exchange Commission (“SEC”) requires that all broker/dealers disclose their policies regarding the receipt of payment for order flow, the nature of their order routing policies for orders subject to payment for order flow and the degree to which these orders can receive price improvement.

Order Routing

Pursuant to SEC Rule 606, Sutter Securities is required to make publicly available a quarterly report with regard to its routing of non-directed orders. SEC Rule 606(b) requires a broker-dealer to disclose to its customers, upon request, “the identity of the venue to which the customer’s orders were routed for execution in the six months prior to the request, whether the orders were directed orders or non-directed orders, and the time of the transactions, if any, that resulted from such orders.”

In accordance with SEC Rule 606 under the Securities Exchange Act of 1934, Sutter’s quarterly quality and order routing information can be found by clicking on the link below and entering Herold & Lantern in the prompt

Rule 606 reporting link – https://www.orderroutingdisclosure.com/

Anti-Money Laundering Customer Information


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 opens an account. What this means for you: When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver’s license or other identifying documents. All major financial receipts and transfers may be subject to review.

Privacy Policy Disclosure

Privacy Statement For Individuals

As a Sutter Securities, Inc. (“Sutter”) client, your privacy is important to us. Reflecting the Firm’s commitment to protecting the privacy of your personal information, we have implemented privacy policies consistent with the rules mandated by federal guidelines for financial institutions. We have also adopted policies and procedures designed to help ensure the security and confidentiality of our customers’ records and information.

The Collection Of Personal Information

In order to help us provide the best level of service, better meet your financial needs, and provide the financial services that Sutter offers, we may collect information from the following sources:

  • Applications and other forms we have filled out (including information such as your name, address, social security number and income);
  • Your transactions with us, our affiliates, or others (including information such as account balances and transaction history);
  • Credit reporting agencies (who provide us with your credit history and information to protect both you and Sutter Securities against fraud).

Disclosure Of Personal Information To Nonaffiliated Third Parties For Business Purposes

We may disclose the information described above to companies that are not affiliated with Sutter for business purposes in the following circumstances:

  • Companies that perform administrative services on our behalf (such as vendors that provide data processing, transaction processing and printing services);
  • Our clearing broker.

Disclosure Of Personal Information In Other Instances

Sutter shares information with third parties not affiliated with the Firm, such as mortgage bankers, securities broker-dealers (other than our clearing broker-dealer) and insurance agents. Please feel free to contact our Compliance Department at 415-352-6340 if you have any additional questions.

In addition, we may also disclose the information described above to nonaffiliated third parties as permitted by law, for example, to comply with a subpoena, respond to a regulatory authority or to protect against fraud.

Information Confidentiality And Security

At Sutter, we restrict access to client information to those employees who need to know such information in order to perform their job responsibilities. Employees who have access to client information must adhere to our strict security and confidentiality policies.

Former Customers

Information pertaining to former clients will be treated as described in this policy.

Privacy Settings
We use cookies to enhance your experience while using our website. If you are using our Services via a browser you can restrict, block or remove cookies through your web browser settings. We also use content and scripts from third parties that may use tracking technologies. You can selectively provide your consent below to allow such third party embeds. For complete information about the cookies we use, data we collect and how we process them, please check our Privacy Policy
Consent to display content from - Youtube
Consent to display content from - Vimeo
Google Maps
Consent to display content from - Google
Consent to display content from - Spotify
Sound Cloud
Consent to display content from - Sound