Terms and Conditions
By using this website www.tradeup.com, you agree to be bound by the Terms and Conditions of Use and Disclaimer set forth below, which may be modified by the company at any time without prior notice.
TradeUP Securities Inc. is a privately owned broker dealer regulated by the Securities and Exchange Commission (SEC) and member of the Financial Industry Regulatory Authority (FINRA)(www.finra.org) and the Securities Investor Protection Corporation (SIPC) (www.sipc.org).
The Website is intended for informational purposes only and does not constitute an offer to sell or the solicitation of an offer to purchase any security or investment product or services. All information presented on the Website has been prepared without regard to any particular user’s investment objectives, financial situation, or means. TRADEUP SECURITIES does not intend for any information presented on the Website to be business, financial, investment, hedging, trading, legal, regulatory, tax, or accounting advice, and the information presented herein should not be the basis for any investment decisions made by or on behalf of you, your accountants, or your managed or fiduciary accounts. You may want to consult your business advisor, attorney, and tax and accounting advisors concerning any contemplated transactions. The fact that TRADEUP SECURITIES has made the data and services provided through the Website available to you does not constitute a representation that any product described on this site is suitable or appropriate for you.
The information presented on this Website is not intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution or use would be contrary to law or regulation or which would subject TRADEUP SECURITIES, its affiliates, employees, directors, officers or agents to any registration requirement within such jurisdiction or country.
Acceptable Use Policy
Users are permitted to store, display, analyze, modify, reformat, and print the information made available to them via this site solely for their own use. Users are not permitted to publish, transmit, or otherwise reproduce this information, in whole or in part, in any format to any third party without the express written consent of TradeUP Securities, Inc. In addition, users are not permitted to alter, obscure, or remove any copyright, trademark, or any other notices that are provided in connection with the information. TRADEUP SECURITIES reserves the right, at any time and from time to time, in the interests of its own editorial discretion and business judgment to add, modify, or remove any of the information. These Terms and Conditions of Use and Disclaimer are not intended to, and will not, transfer or grant any rights in or to the information other than those which are specifically described herein, and all rights not expressly granted herein are reserved by TRADEUP SECURITIES or the third party providers from whom TRADEUP SECURITIES has obtained the information. Users are required to read and abide by any additional terms and conditions that may be posted on this site from time to time.
Your use of the Website may be monitored by TRADEUP SECURITIES, and the resultant information may be used by TRADEUP SECURITIES for its internal business purposes and/ or in accordance with the rules of any applicable regulatory or self-regulatory organization.
Disclaimer of Warranty and Limitation of Liability
THE CONTENT OF THIS WEBSITE PROVIDED ON AN “AS IS” BASIS AT THE USER’S SOLE RISK. ALL INFORMATION POSTED ON THIS SITE IS BELIEVED TO BE RELIABLE AT THE TIME OF POSTING AND TRADEUP SECURITIES MAKES NO REPRESENTATIONS CONCERNING THE WEBSITE OR ANY LINKS PROVIDED ON THE WEBSITE. TRADEUP SECURITIES SHALL HAVE NO RESPONSIBILITY TO MAINTAIN THE DATA AND SERVICES MADE AVAILABLE ON THIS SITE OR TO SUPPLY ANY CORRECTIONS, UPDATES, OR RELEASES IN CONNECTION THEREWITH. AVAILABILITY OF DATA AND SERVICES ARE SUBJECT TO CHANGE WITHOUT NOTICE.
TRADEUP SECURITIES DISCLAIMS ALL EXPRESS, IMPLIED, AND STATUTORY WARRANTIES OF ANY KIND, INCLUDING WARRANTIES OF MERCHANTABILITY, NON-INFRINGEMENT OR FITNESS FOR A PARTICULAR PURPOSE, IN CONNECTION WITH OR ARISING FROM YOUR USE OF THIS WEBSITE.
IN NO EVENT SHALL TRADEUP SECURITIES OR ANY OF ITS AFFILIATES, MANAGER MEMBERS, MEMBERS, PARTNERS, DIRECTORS, OFFICERS, EMPLOYEES, OR OTHER REPRESENTATIVES BE LIABLE OR HAVE ANY RESPONSIBILITY OF ANY KIND FOR ANY MONETARY DAMAGES ARISING YOUR USE OF THIS WEBSITE.
Certain information presented through the Website was prepared using materials or information prepared by third parties. Although TRADEUP SECURITIES considers this information reliable, TRADEUP SECURITIES has not verified this information and does not represent that this information or any materials prepared on the basis of such information, accurate, current, or complete.
The Website may provide links to certain Internet sites of and maintained by third parties. TRADEUP SECURITIES is providing such links solely as a convenience to you. Accordingly, TRADEUP SECURITIES makes no representations concerning the content of the sites. The fact that TRADEUP SECURITIES has provided a link to a site does not constitute an endorsement, authorization, sponsorship, or affiliation by TRADEUP SECURITIES with respect to the site, its owners, or its providers. TRADEUP SECURITIES has not tested or researched any information, software, or products found on any of the sites and therefore does not make any representations with respect thereto, including any representations regarding the content or sponsors of the site, or the suitability or appropriateness of the products or transactions described therein or the accuracy and timeliness of the information provided therein.
Our commitment to Your Privacy: TradeUP Securities, Inc. has a policy of protecting the confidentiality and security of information we collect about customers. We will not share nonpublic information about you (“Information”) without your consent, except for specific purposes described below. This notice describes the Information we may gather and the circumstances under which we may share it.
Why We Collect and How We Use Information: We limit the collection and use of Information to the minimum we require to deliver superior service to you. Such service includes maintaining your accounts with us, processing transactions requested by you and administering our business.
How We Gather Information: We get most Information directly from you, when you apply for, access and use financial products and services offered by our firm. We may verify this information or get additional information from consumer reporting agencies or public sources. This Information may relate to your finances, employment, as well as transactions and interactions with our firm or others.
Disclosure of Information: We may disclose any Information to or when we believe it necessary for the conduct of our business, or where law requires disclosure. For example, Information may be disclosed for audit or research purposes, to attorneys or other professionals, or to law enforcement and regulatory agencies, for example, to help prevent fraud. In addition, we may disclose Information to third party services providers (i) to enable them to provide business services for our firm, such as performing computer related data maintenance or processing services for our firm, (ii) to facilitate the processing of transactions requested by you, (iii), to assist us in offering products and services to you, or (iv) for credit review and reporting purposes. Except in those specific, limited situations, without your consent, we will not make any disclosures of Information to other companies who may want to sell their products or services to you. For example, we do not sell customer lists and we will not sell your name to a catalogue company. It is TRADEUP SECURITIES' policy to require all third parties that are to receive any Information to sign strict confidentiality agreements.
Access to and Correction of Information: If you desire to review any file we may maintain for your personal Information, please contact us. If you notify us that any Information is incorrect, we will review it. If we agree, we will correct our records. If we do not agree, you may submit a short statement of dispute, which we will include in future disclosures of disputed Information. Information collected in connection with, or in anticipation of, any claim or legal proceeding will not be made available.
BUSINESS CONTINUITY PLAN DISCLOSURE
TRADEUP SECURITIES is committed to providing our clients with secure and reliable access to their accounts. This commitment includes providing information regarding plans to address disruptions in our business operations due to power outages, natural disasters, or other significant events. In the event of a disruption, TRADEUP SECURITIES has a Business Continuity Plan to meet the needs of our customers, maintain the well-being and safety of our employees, and meet our regulatory obligations. The planning process is risk based and involves the understanding and prioritization of critical operations across the firm, the anticipation of probable threats, and the proactive development of strategies to mitigate the impact of those events.
Key components of TRADEUP SECURITIES continuity and technology recovery planning include:
Although TRADEUP SECURITIES has taken significant steps to develop and implement sound business recover practices, after a significant business disruption, clients may still experience service disruptions, or reduced services or access as the firm recovers. We continually assess, update, and test our plans to ensure TRADEUP SECURITIES plans are robust and are consistent with many of the best practices in the industry. Any modifications to our plan will be reflected on our website, or you may obtain a current version of the modifications by writing to TradeUP Securities, Inc., 101 Eisenhower Parkway Roseland, NJ 07068.