Goldin Capital Advisors LLC Disclosures

GCA works with institutions to assist in raising capital in private placements and provides its investment banking clients advice in mergers, acquisitions, financial restructurings and similar corporate finance matters. GCA is a member of the Financial Industry Regulatory Authority, Inc. (“FINRA”) and the Securities Investor Protection Corporation (“SIPC”). GCA is not a retail broker-dealer, and it does not provide research or analyst reports or solicit or carry accounts for, or offer or sell securities products to, retail customers.

The information and services provided on this website are not provided to and may not be used by any person or entity in any jurisdiction where the provision or use thereof would be contrary to applicable laws, rules or regulations of any governmental authority or regulatory or self-regulatory organization or where GCA is not authorized to provide such information or services.

No Offers or Reliance
No material on this website shall be used or considered as an offer to sell or a solicitation of any offer to buy the securities or services of any issuer. Offers can only be made where lawful under, and in compliance with, applicable law.

GCA makes no representations that transactions, products or services discussed on this website are available or appropriate for sale or use in all jurisdictions or by all investors. Those who access this website do so at their own initiative and are responsible for compliance with local laws or regulations.

GCA is not utilizing this website to provide investment or other advice, and no information or material at this website is to be deemed a recommendation to buy or sell any securities or is to be relied upon for the purpose of making or communicating investment or other decisions. Any transactions listed on this website are included as representative transactions and are not necessarily reflective of overall performance. GCA does not advise on the tax consequences of any investment.


Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.  Our business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

Business Continuity Planning Disclosure Statement
GCA has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Client Identification Program Notice
Important Information You Need to Know about Becoming a Client of GCA to help the government fight the funding of terrorism and money laundering activities, federal law requires financial institutions to obtain, verify and record information that identifies each person or legal entity who becomes a client.

What this means for you: When you become a client, we will ask for your business name, address (principle place of business or local office), a government issued identification number (such as a tax identification number), and other information that will allow us to identify your business. We will ask to see your business license and/or other identifying documents.

Contacting Us – If after a significant business disruption you cannot contact us as you usually do at 212-758-1370 you should email us at kbhavaraju@goldincapital.com.