Banyan Securities, LLC  is a registered Broker Dealer.  The firm is a member of FINRA and the SEC. The firm is registered in California and various states. At the current writing, the firm is in good standing with all of the regulatory and supervisory authorities. Any changes in that status will be noted on this posting.

Free and simple tools are available to research firms and financial professionals at Investor.gov/CRS.

WHAT INVESTMENT SERVICES AND ADVICE CAN YOU PROVIDE ME ?

The firm deals exclusively with institutional accounts. The firm does not support or service any outside retail accounts, as defined by the rules, nor does it provide any service of any kind to outside retail investors. ( outside retail  pertains to non-family related accounts ). Family /friends accounts are considered retail investors. The firm provides discretionary status to many of these accounts.

GIVEN MY FINANCIAL SITUATION, SHOULD I CHOOSE A BROKERAGE SERVICE, WHY OR WHY NOT ?

 The firm conducts its business on an unsolicited basis. Neither advisory nor consulting services is provided for compensation.

WHAT FEES WILL I PAY ?

 The firm is paid a sliding scale commission for its execution service.

WE DO NOT PROVIDE RECOMMENDATIONS. HOW MIGHT YOUR CONFLICTS AFFECT ME, AND HOW WILL YOU ADDRESS THEM ?

There are no conflicting interests with our business. We only do execution service and do not conduct any other business.

HOW DO YOUR FINANCIAL PROFESSIONALS MAKE MONEY ?

Our professionals are paid a percentage of the commission received.

DO YOU OR YOUR PROFESSIONALS HAVE LEGAL OR DISCIPLINARY HISTORY ?

Our firm’s disciplinary history is available on FINRA’s BrokerCheck under firm - # 22395. You may research this information on the Web at : brokercheck.finra.org

YOU MAY FIND ADDITIONAL INFORMATION ABOUT OUR FIRM AND REQUEST A COPY OF THE RELATIONSHIP SUMMARY.

 there are any questions – contact Bruce Neff – 415-461-0966