Britehorn Securities LLC — Regulatory Disclosures
About Britehorn Securities
Britehorn Securities LLC is a FINRA- and SEC-registered introducing broker-dealer (CRD# 36402) and member of SIPC, headquartered in Denver, Colorado. Britehorn provides regulatory oversight, supervisory services, and compliance infrastructure to independent registered representatives engaged in institutional mergers and acquisitions (M&A) advisory, private placement capital-raising, and strategic advisory activities. The firm does not open or maintain customer accounts and does not hold customer funds or securities. Britehorn's registered representatives operate under their own brands while supervised by Britehorn for all securities-related activities in accordance with applicable FINRA rules and SEC regulations.
Regulation Best Interest (Reg BI) — Institutional Disclosure Statement
Britehorn Securities LLC ("Britehorn") is a FINRA- and SEC-registered broker-dealer that operates exclusively in the institutional market. Britehorn provides regulatory oversight, supervisory services, and compliance infrastructure to independent registered representatives engaged in institutional mergers and acquisitions (M&A) advisory, private placement capital-raising, and strategic advisory activities.
Britehorn does not provide brokerage services to retail customers as defined under Regulation Best Interest (Reg BI) (17 CFR § 240.15l-1). Because Britehorn's registered representatives engage exclusively in the marketing of M&A transactions and private placement securities to institutional investors — and because Britehorn does not open or maintain customer accounts, hold customer funds or securities, or make investment recommendations to retail investors — the Form CRS (Customer Relationship Summary) filing requirement under Rule 17a-14 of the Securities Exchange Act of 1934 does not apply to Britehorn, and Britehorn does not require its registered representatives to provide a Form CRS.
Britehorn's registered representatives are independent M&A advisors, placement agents, and business brokers who operate under their own brands while registered through Britehorn for securities-related activities. All securities-related activities are supervised by Britehorn in accordance with applicable FINRA rules and SEC regulations.
For questions regarding Britehorn's regulatory status or institutional disclosure, contact the Compliance Department at compliance@britehorn.com.
SEC Rule 15a-6 — Foreign Broker-Dealer Chaperoning
Britehorn Securities LLC serves as a U.S. registered broker-dealer chaperone under SEC Rule 15a-6 of the Securities Exchange Act of 1934, enabling foreign broker-dealers to engage with U.S. institutional investors in cross-border securities transactions without obtaining separate U.S. registration.
What is SEC Rule 15a-6?
SEC Rule 15a-6 provides limited exemptions that allow foreign broker-dealers to conduct certain cross-border securities activities with U.S. institutional investors, provided those activities are conducted through or in conjunction with a U.S. registered broker-dealer acting as a "chaperone." The chaperoning broker-dealer supervises, records, and assumes full compliance responsibility for all U.S.-based activities conducted under the arrangement.
Britehorn's Role as Chaperone
As a FINRA- and SEC-registered introducing broker-dealer, Britehorn Securities assumes responsibility for:
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Participating in all communications with U.S. institutional clients
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Maintaining all required books and records related to chaperoned transactions
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Ensuring compliance with applicable U.S. securities laws, including suitability obligations, anti-money laundering and know-your-customer (AML/KYC) requirements, recordkeeping, and trade settlement
Eligible U.S. Institutional Investors
Under SEC Rule 15a-6, an "institutional investor" generally includes entities such as registered investment companies, banks, insurance companies, registered investment advisers, and other organizations with at least $5 million in assets. A "major U.S. institutional investor" is defined as an institutional investor with at least $100 million in financial assets or investments.
Foreign broker-dealers seeking a U.S. chaperoning arrangement with Britehorn Securities should contact us at compliance@britehorn.com.
Learn more about how Britehorn acts as a foreign broker-dealer chaperone under SEC Rule 15a-6 →
Business Continuity Plan — Summary Disclosure
Britehorn Securities LLC ("Britehorn") has developed a Business Continuity Plan (BCP) in accordance with FINRA Rule 4370 to provide for the firm's recovery from an emergency or significant business disruption and for the resumption of business operations in as short a period of time as possible.
Our plan addresses:
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Data backup and recovery (cloud-based with geo-redundant storage)
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All mission-critical systems
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Financial and operational assessments
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Alternate communications between the firm, registered representatives, and regulators
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Alternate physical location of employees
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Critical business constituent, bank, and counterparty impact
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Regulatory reporting continuity
Firm operations and data infrastructure:
Britehorn maintains all books and records electronically in the cloud. Business communications are archived through a FINRA-compliant electronic records archive. Financial records are maintained through cloud-based accounting systems with geo-redundant storage. This distributed infrastructure means that a physical disruption at any single location does not disrupt mission-critical systems.
Custody of funds and securities:
Britehorn does not maintain custody of customers' funds or securities, nor does it maintain an ongoing relationship with any clients or investors once a transaction has been completed.
Regulatory oversight:
Britehorn is subject to regulation by the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). In the event of a business disruption affecting regulatory reporting, the firm will employ alternate communication methods and notify its FINRA contacts.
For the complete Business Continuity Plan, download the full document (PDF) or contact us at compliance@britehorn.com.
Privacy Policy
Britehorn Securities LLC ("Britehorn," "we," "us," or "our") is committed to protecting the privacy of our clients, registered representatives, and visitors to our website. This Privacy Policy describes how we collect, use, and safeguard personal information.
Information We Collect
We may collect personal information that you voluntarily provide to us, including but not limited to: name, email address, phone number, mailing address, Social Security number or tax identification number, financial account information, employment history, and regulatory licensing information. We may also collect information automatically through cookies, log files, and similar technologies when you visit our website.
How We Use Your Information
We use the information we collect to: process securities transactions and maintain required books and records; comply with applicable federal and state securities laws, FINRA rules, and SEC regulations; communicate with registered representatives regarding supervisory, compliance, and operational matters; respond to inquiries and provide information about our services; and improve our website and services.
Information Sharing and Disclosure
We do not sell, rent, or trade your personal information to third parties for marketing purposes. We may share your information with: regulatory authorities, including FINRA and the SEC, as required by law; service providers who assist us in operating our business, subject to confidentiality agreements; law enforcement or government agencies in response to a legal request or when we believe disclosure is necessary to protect our rights or comply with a judicial proceeding; and affiliated firms and registered representatives in connection with securities transactions conducted through Britehorn.
Data Security
We implement reasonable administrative, technical, and physical safeguards to protect your personal information from unauthorized access, use, or disclosure. All electronic records are maintained in secure, cloud-based systems with geo-redundant storage and encryption.
Data Retention
We retain personal information for as long as necessary to fulfill the purposes for which it was collected, comply with applicable regulatory record-keeping requirements (including SEC Rule 17a-4 and FINRA Rules 3110 and 4511), and resolve disputes or enforce our agreements.
Your Rights
You may request access to, correction of, or deletion of your personal information by contacting us at compliance@britehorn.com. Please note that certain information may be retained as required by securities regulations.
Changes to This Policy
We may update this Privacy Policy from time to time. Any changes will be posted on this page with an updated effective date.
Contact Us
If you have questions about this Privacy Policy or our data practices, please contact:
Britehorn Securities LLC Compliance Department - compliance@britehorn.com
FINRA BrokerCheck & SIPC Membership
FINRA BrokerCheck
Britehorn Securities LLC is a registered broker-dealer subject to oversight by the Financial Industry Regulatory Authority (FINRA). BrokerCheck is a free tool provided by FINRA that allows the public to research the background and experience of broker-dealers and their registered representatives, including employment history, certifications, licenses, and any disclosure events.
View Britehorn Securities on FINRA BrokerCheck →
SIPC Membership
Britehorn Securities LLC is a member of the Securities Investor Protection Corporation (SIPC). SIPC is a non-profit corporation established by Congress to protect customers of broker-dealers that are forced into bankruptcy. SIPC membership is required for all registered broker-dealers and provides coverage up to $500,000 per customer, including up to $250,000 for cash claims.
Learn more about SIPC protection → sipc.org