• Boustead Securities

Boustead Securities Brokerage Services Guide


Boustead Securities, LLC (Boustead) is registered with the Securities and Exchange Commission (SEC) as a broker-dealer and is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC) and offers brokerage services to retail and institutional investors. Our brokerage services are non-discretionary: you make the ultimate decision regarding the purchase or sale of investments.

We impose no minimum account size, investment amount or volume of transactions for brokerage services. We do not take custody or hold client assets or funds. Your investments are maintained with independent qualified custodians or held by the issuer.


What fees will I pay?

We charge a commission for each buy or sell transaction. The amount of commission is a percentage of the transaction and is determined at the time a brokerage account is opened. In addition to commissions, retail brokerage clients will also incur custodian fees, account maintenance fees and other fees. Please see our Schedule of Fees, available on the Disclosures page of our website at https://www.boustead1828.com/disclosure.

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, see our Regulation BI disclosures here or call us for assistance 949-502-4408.

There are many risks involved with investing. Please see our Regulation Best Interest Relationship Guide on the Form CRS Reg BI page on our website at https://www.boustead1828.com/form-crs-reg-bi.


Additional Information

For account opening information, required documents and for additional information about our services, please contact your Registered Representative or go to the Regulation Best Interest Relationship Guide on the Form CRS Reg BI page on our website. If you would like additional, up-to-date information or a copy of this disclosure, please email legal@boustead1828.com.



About Boustead Securities, LLC

Boustead Securities, LLC (“Boustead”) is an investment banking firm that executes and advises on IPOs, mergers and acquisitions, capital raises and restructuring assignments in a wide array of industries, geographies and transactions, for a broad client base. Boustead’s core value proposition is the ability to create opportunity through innovative solutions and tenacious execution. With experienced professionals in the United States, Boustead’s team moves quickly and provides a broad spectrum of sophisticated financial advice and services. Boustead is a majority owned subsidiary of Boustead & Company Limited, a diversified non-bank financial institution. For more information, please visit www.boustead1828.com.


Form CRS/Reg BI Disclaimer:

Boustead Securities, LLC is registered with the Securities and Exchange Commission (SEC) as a broker-dealer and is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). Brokerage and investment advisory services and fees differ and it is important for you to understand these differences. Free and simple tools are available to research firms and financial professionals at Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing. When we provide you with a recommendation, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates a conflict with your interests. Please strive to understand and ask us about these conflicts because they can affect the recommendations we provide you. There are many risks involved with investing. For Boustead Securities customers and clients, please see our Regulation Best Interest Relationship Guide on the Form CRS Reg BI page on our website at https://www.boustead1828.com/form-crs-reg-bi. For Sutter Securities’ and Sutter Securities Clearing’s customers and clients, please see the Form CRS on the website at https://suttersecurities.com/wp-content/uploads/2020/12/Sutter-Form-CRS-combined-121020.pdf. For FlashFunders’ visitors, you may review the Form CRS of Boustead Securities, Sutter Securities and Sutter Securities Clearing under the Form CRS section. Please also carefully review and verify the accuracy of the information you provide us on account applications, subscription documents and others.

Cautionary Statement Concerning Forward-Looking Statements

This document contains forward-looking statements. In addition, from time to time, we or our representatives may make forward-looking statements orally or in writing. We base these forward-looking statements on our expectations and projections about future events, which we derive from the information currently available to us. Such forward-looking statements relate to future events or our future performance, including: our financial performance and projections; our growth in revenue and earnings; and our business prospects and opportunities. You can identify forward-looking statements by those that are not historical in nature, particularly those that use terminology such as “may,” “should,” “expects,” “anticipates,” “contemplates,” “estimates,” “believes,” “plans,” “projected,” “predicts,” “potential,” or “hopes” or the negative of these or similar terms. In evaluating these forward-looking statements, you should consider various factors, including: our ability to change the direction of the Company; our ability to keep pace with new technology and changing market needs; and the competitive environment of our business. These and other factors may cause our actual results to differ materially from any forward-looking statement. Forward-looking statements are only predictions. The forward-looking events discussed in this document and other statements made from time to time by us or our representatives, may not occur, and actual events and results may differ materially and are subject to risks, uncertainties and assumptions about us. We are not obligated to publicly update or revise any forward-looking statement, whether as a result of uncertainties and assumptions, the forward-looking events discussed in this document and other statements made from time to time by us or our representatives might not occur.

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