INTE Securities LLC
Introduction
INTE Securities s LLC (“the Firm” or “INTE”) is registered with the Securities and Exchange Commission as a broker-dealer and is a member of the Financial Industry Regulatory Authority (“FINRA”) and the Securities and Investor Protection Corporation. Brokerage and Investment Advisory fees differ, and it is important for you, the retail investor, to understand the differences. Free and simple tools are available to research firms and financial professionals at www.investor.gov/CRS which also provides educational materials about broker-dealers, investment advisers and investing.
Relationships and Services
What investment services and advice can you provide me?
INTE acts as a brokerage firm. We collect business advisory fees from Companies and Individuals. We receive transaction-based fees from Issuers.
These fees are paid to us by the Issuer when you make an investment. We act as an agent in the private placement of securities. The Issuer has sole discretion over whether or not to accept a proposed investment by you. Should you, the retail investor, request information about a private placement of securities, we will provide you with documents such as an Offering Memorandum or a Private Placement Memorandum. There is a minimum commitment on your part that is required to participate in a private placement of securities. These are determined by the Issuer and vary by Issuer.
Our Firm offers Mergers and Acquisitions (“M&A”) advisory services to institutions and high net worth individuals. We do not offer any other types of products, services, or investments to retail investors.
INTE may present possible investment opportunities, which are consistent with your investor profile.
We do not monitor your investment.
You, the investor, make the ultimate decision regarding the purchase or sale of investments.
Additional Information: To learn more about the brokerage services that INTE Securities LLC offers, please visit our website at: www.intesecurities.com or speak directly with one of our Registered Representatives.
Relationships and Services
What investment services and advice can you provide me?
INTE acts as a brokerage firm. We collect business advisory fees from Companies and Individuals. We receive transaction-based fees from Issuers.
These fees are paid to us by the Issuer when you make an investment. We act as an agent in the private placement of securities. The Issuer has sole discretion over whether or not to accept a proposed investment by you. Should you, the retail investor, request information about a private placement of securities, we will provide you with documents such as an Offering Memorandum or a Private Placement Memorandum. There is a minimum commitment on your part that is required to participate in a private placement of securities. These are determined by the Issuer and vary by Issuer.
Our Firm offers Mergers and Acquisitions (“M&A”) advisory services to institutions and high net worth individuals. We do not offer any other types of products, services, or investments to retail investors.
INTE may present possible investment opportunities, which are consistent with your investor profile.
We do not monitor your investment.
You, the investor, make the ultimate decision regarding the purchase or sale of investments.
Additional Information: To learn more about the brokerage services that INTE Securities LLC offers, please visit our website at: www.intesecurities.com or speak directly with one of our Registered Representatives.
Fees, Costs, Conflicts, and Standard of Conduct
What fees will I pay?
In a private placement of securities, you do not pay any fees directly to INTE Securities LLC. Our primary revenue stream is derived from a predetermined percentage of fees paid by an Issuer to the Firm, which is based upon a total amount of investments made by the investors, known as a “success fee.”
Each issuer determines the fees associated with each particular investment, as they differ. The fees are paid directly to the Firm.
In M&A advisory work, the Firm may be involved with multiple M&A engagements at the same time. The Firm may be paid a retainer. The client pays these fees. There are no other benefits paid to the Firm other than possible retainers and “success fees.” INTE Securities LLC works with multiple Issuers. The fees paid to the Firm varies by each Issuer. There is a potential conflict of interest for us to Introduce you to private placements with higher fees.
Additional Information: You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying. Please speak with your Registered Representative for additional information.
CONVERSATION STARTERS: Given my financial situation, should I choose a brokerage service? Why or why not? How will you choose investments to recommend to me? What is your relevant experience, including your licenses, education, and other qualifications? What do these qualifications mean?
CONVERSATION STARTER: Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?
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What are your legal obligations to me when providing recommendations? How else does your firm make money and what conflicts of interest do you have?
We provide recommendations to high-net-worth individuals. Our obligation is to put your interests above our own and to disclose any issues that would create a conflict of interest. At the same time, the way we make money may create some conflicts of interest. You should understand and ask about these conflicts because they can affect the services we provide you. We will provide you with the most current version of the offering materials as provided to us by an Issuer when we make an introduction to the Issuer. Here are two examples to help you understand what this means. The amount of “success fees” will be determined by each Issuer in our engagement with them. Therefore, acting as a placement agent, a conflict of interest exists to place investors with an Issuer paying a higher “success fee.” Also, Registered Representatives of the Firm may personally participate in the same private placement of securities as the investor, therefore, creating a conflict of interest where there are increased investments and potentially increased fees to be paid. When involved in Mergers and Acquisitions advisory work, Registered Representatives of the Firm may personally participate in the deal, therefore, potentially making money personally and from the fees paid to the Firm.
Additional Information: Please feel free to discuss any questions that you have about conflicts of interest with your Registered Representative.
How do your financial professionals make money?
Our financial professionals are paid based upon the fees earned from the specific engagements with the Issuer/Company. There are no bonuses paid to our financial professionals.
Do you or your financial professionals have legal or disciplinary history?
Yes. Please visit the following link for a free and simple search tool to research our firm and its financial professionals: www.Investor.gov/CRS.
Additional Information: You can find additional information about our brokerage services at www.intesecurities.com or by speaking with one of our Registered Representatives.
You can find a free copy of Form CRS on our website, www.intesecurities.com. You can request up-to-date information and a hard copy of our Customer Relationship Summary (CRS) by contacting the firm at: 212-897-1694.
CONVERSATION STARTER: As a financial professional, do you have any disciplinary history? For what type of conduct?
CONVERSATION STARTER: Who is my primary contact person? Is he or she a representative of an investment adviser or a broker-dealer? Who can I talk to if I have concerns about how this person is treating me?
Introduction
INTE Securities s LLC (“the Firm” or “INTE”) is registered with the Securities and Exchange Commission as a broker-dealer and is a member of the Financial Industry Regulatory Authority (“FINRA”) and the Securities and Investor Protection Corporation. Brokerage and Investment Advisory fees differ, and it is important for you, the retail investor, to understand the differences. Free and simple tools are available to research firms and financial professionals at www.investor.gov/CRS which also provides educational materials about broker-dealers, investment advisers and investing.
Introduction
INTE Securities s LLC (“the Firm” or “INTE”) is registered with the Securities and Exchange Commission as a broker-dealer and is a member of the Financial Industry Regulatory Authority (“FINRA”) and the Securities and Investor Protection Corporation. Brokerage and Investment Advisory fees differ, and it is important for you, the retail investor, to understand the differences. Free and simple tools are available to research firms and financial professionals at www.investor.gov/CRS which also provides educational materials about broker-dealers, investment advisers and investing.