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Relationship Summary

Cuatro Capital Securities Client FAQs

 

  • Cuatro Capital Securities, LLC (“CCS”) is a FINRA-registered broker-dealer and SIPC member. A registered broker-dealer may charge transaction fees for facilitating securities transactions for its clients. 

  • CCS is not a registered investment advisor. A registered investment advisor may charge their clients an advisory fee, which is calculated as a percentage of the assets managed by the advisor. 

  • Free and simple tools are available to research fiCCS and financial professionals at Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.

  • The main address of CCS is 1959 Calle Louiza, San Juan, Puerto Rico. The location is not open to the public, but it does receive mail.

  • This revision of the firm’s relationship summary was drafted on December 13, 2022 and it represents the most current version.

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Relationship and Services

 

What investment services and advice can you provide me?

 

  • You may engage CCS to make referrals to buyers or sellers of securities. If you complete a securities transaction with a buyer of seller that we have referred to you, then you will be obligated to pay CCS a success fee. The success fee is typically calculated as a percentage of the consideration paid from the buyer to the seller in the transaction.

  • CCS does not hold any client funds or securities. Therefore, we have no discretionary authority over client transactions and provide no ongoing monitoring of client transactions.

  • If you have not engaged CCS to provide brokerage services, you may still encounter CCS representatives as the recipient of an introduction to a buyer or seller of securities. In such an instance, you will not be obligated to pay CCS any fee. 

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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?

  

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Fees, Costs, Conflicts, and Standard of Conduct


What fees will I pay?


If you are an engaged client, you may become obligated to pay CCS a success fee if you complete a transaction with a buyer or seller of securities that has been referred to you by CCS. The success fee is calculated pursuant to the contractual agreement between the engaged client and CCS.

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If you are not an engaged client, then you will not become obligated to pay CCS any fees. However, you should be aware that CCS is most likely being paid a success fee by the counter-party in your securities transaction. 

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Conversation Starter

 

  • If I invest $10,000, how much will go to fees and costs?

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What are your legal obligations to me when providing recommendations?


CCS does not typically recommend any securities transaction to its clients. When we provide you 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 some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the recommendations we provide you. Here are some examples to help you understand what this means:

 

  • If you are not the engaged client in a securities transaction, CCS is most likely being paid a success fee by the counter-party in your securities transaction.

  • If the associated person of CCS who makes the recommendation is also a significant equity holder in the issuer of the securities recommended or a member of the management team of the issuer of the securities recommended, then there may be a conflict of interest.

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Conversation Starter

 

  • How might your conflicts of interest affect me, and how will you address them?

  • How do your financial professionals make money?

  • You may engage CCS to make referrals to buyers or sellers of securities. If you complete a securities transaction with a buyer or seller that a CCS financial professional has referred to you, then you will be obligated to pay CCS a success fee pursuant to the teCCS of the engagement agreement. The success fee is typically calculated as a percentage of the consideration paid from the buyer to the seller in the transaction. CCS pays a portion of the success fee to the CCS financial professional(s) that sourced the buyer and seller in the transaction. Compensation is typically paid in cash, but may also be paid in warrants to purchase securities.

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Disciplinary History

 

Do you or your financial professionals have legal or disciplinary history?

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  • Yes. Visit Investor.gov/CRS for a free and simple search tool to research our firm and our financial professionals.

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Conversation Starter


As a financial professional, do you have any disciplinary history? For what type of conduct?

  

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Additional Information

 

Our firm’s relationship summary can be found on our website at www.Cuatro Capitalsecurities.com/crs. To request more information, you may call 888-333-1091 or schedule a meeting using our online form.  

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Conversation Starter

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  • 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?​​​

Dated October 2024

Cuatro Capital Securities

FINRA Registered Broker-Dealer 

Contact information

Email: assistants@cuatromarkets.com

Phone: (480) 256-2433

Cuatro Capital Securities, LLC (“CCS”) is a FINRA-registered broker-dealer and SIPC member. 

 

Find this broker-dealer and its agents on BrokerCheck. To view our additional, important disclosures, please visit our Disclosures page.

 

CCS is engaged by its clients to make referrals to buyers or sellers of private securities (“Securities”). If such a client closes a Securities transaction with a buyer or seller so referred, CCS is entitled to a success fee from the client. Such success fee may be in the form of cash or in warrants to purchase securities of the client or client’s affiliate. CCS or CCS representatives may hold equity in its issuer clients or in the issuers of securities purchased or sold by the parties to a transaction. 

 

Investments in the Securities are speculative and involve a high degree of risk. An investor in the Securities should have little to no need for liquidity in the foreseeable future and have sufficient finances to withstand the loss of the entire investment. Potential buyers or sellers of the Securities should seek professional counsel prior to entering into any transaction.

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