Vestmark Trade is a Registered Investment Advisor (RIA) registered with the appropriate regulatory authorities. Registration does not imply a certain level of skill or training. Our Form ADV, which provides detailed information about our business practices, fees, and potential conflicts of interest, is available upon request.
Investors are encouraged to verify the background of our firm and our investment professionals through FINRA's BrokerCheck at brokercheck.finra.org. BrokerCheck provides information about registered investment advisors and their associated persons.
Vestmark Trade complies with all applicable federal and state securities laws. Our services are offered only to eligible investors in jurisdictions where such services may be lawfully offered. We do not offer services in jurisdictions where registration or licensing would be required but has not been obtained.
DWP maintains a comprehensive Anti-Money Laundering (AML) program in compliance with the Bank Secrecy Act and other applicable regulations. We are required to collect and verify client identity information and to report suspicious activities to appropriate authorities.
As part of our regulatory obligations, we collect and verify personal and financial information from all clients. This process is designed to comply with KYC requirements and to protect our clients and the integrity of the financial system.
The regulatory landscape for digital assets continues to evolve. Vestmark Trade actively monitors regulatory developments and adjusts its practices accordingly. Clients should be aware that changes in regulation may affect the availability and nature of digital asset services.
DWP has adopted policies and procedures to identify, manage, and disclose material conflicts of interest. Full disclosure of potential conflicts is provided in our Form ADV. Clients are encouraged to review this document and to discuss any concerns with their advisor.
Vestmark Trade maintains appropriate insurance coverage for its operations. Custody clients may benefit from additional insurance protections as described in their individual custody agreements.
For legal inquiries, please contact: support@vestmarktrade.com