Policies and Disclosures
SCP Real Assets LLC (‘The Firm’) is a registered FINRA dealer and a member of SIPC. Our FINRA CRD number is 333667. For our complete list of States where the firm is registered, please see our FINRA BrokerCheck profile which can be found in the link noted below.
BrokerCheck
For information about our firm and our financial professionals, please visit: https://brokercheck.finra.org
No Offer or Solicitation
The information on this website is for informational purposes only and is not an offer to buy or sell any security in any jurisdiction where we are not registered or exempt from registration.
No Tax or Legal Advice
The Firm does not offer any tax or legal advice. Clients should consult their own professional advisors on tax and legal issues.
Form CRS
We provide recommendations to retail investors under Regulation Best Interest. Our Client Relationship Summary (Form CRS) is available on request or is available here:[CRS]
Conflicts of Interest Disclosure (Regulation Best Interest)
When we provide a recommendation to you, we are required to act in your best interest and not place our interests ahead of yours. However, we and our financial professionals may receive compensation or have business arrangements that create conflicts of interest. These include:
Compensation-Based Conflicts
We receive transaction-based compensation (commissions) when you buy or sell securities.
Different products may pay us different levels of compensation, which creates an incentive to recommend products that pay more.
Our financial professionals may receive a portion of the commissions you pay, which creates an incentive to recommend more frequent trading or higher-compensating products.
Third-Party Payments and Referral Agreements
We may receive compensation from product sponsors, including marketing support, due diligence reimbursements or revenue-sharing payments. These payments create an incentive for us to recommend products from sponsors who provide such compensation.
The Firm may compensate individuals or entities for client referrals and as a result, may create conflicts.
Outside Business Activities
Some financial professionals may engage in outside business activities that create potential conflicts. These activities are reviewed and approved by our firm.
How We Address Conflicts
We mitigate conflicts through policies, supervision, training, and compensation structures designed to ensure recommendations are made in your best interest.
A more detailed description of our conflicts is available upon request.
Professional Titles
The Firms staff ‘Titles’ do not imply expertise or licensing beyond regulatory requirements.
Market Commentaries
Market commentaries are for informational purposes only and are not a recommendation.
Privacy Policy
We maintain policies and procedures to protect your personal information. Our Privacy Notice is available here: [Privacy Policy]
We further maintain California Consumer Privacy ACT (CCPA). Our California CCPA notice is available here: : [Privacy Policy]
Electronic Communication Disclaimer
Electronic communications may be monitored or retained to meet our regulatory requirements as permitted by law.
Electronic Order Routing / SEC Rule 606 – PFOF
The Firm, in accordance with SEC Rule 606 under the Securities Exchange Act of 1934, is committed to providing transparency around our order routing practices.
The Firm does not receive any compensation for our client order routing and will provide a detailed report on client order routing upon request.
US Patriot ACT and Anti-Money Laundering Program
The Firm must verify all clients’ identity under federal law. Further, The Firm maintains an Anti-Money Laundering Program under FINRA Rule 3310.
SIPC Disclosure
SCP Real Assets LLC is a member of the Securities Investor Protection Corporation (“SIPC”). SIPC protects up to $500,000 ($250,000 cash); it does not protect against market loss. For more information about SIPC coverage on your brokerage account by contacting the firm or requesting an SIPC brochure. SIPC’s website is www.sipc.org and the telephone number is 202-371-8300.
Business Continuity Plan Summary Notice
In its own best interests and pursuant to FINRA and SEC regulation, SCP Real Assets, LLC (“SCP-RA”) has a Business Continuity Plan (“BCP”) in place to prepare for the possibility of future significant business disruptions (“SBD”) ranging in severity from a firm only disruption to a regional disruption. SCP-RA’s recovery time from an SBD will depend on the severity and significance of the event. SCP-RA estimates the recovery time to range from three to twenty-four hours.
SCP-RA has a functional offsite facility located in Toronto, Ontario, Canada providing an alternative location from which it can reasonably operate under such an SBD. SCP-RA’s electronic records, as well as those of its clearing firm, RBC Custody & Clearing, are backed up to a secure off-site location on at least a weekly basis. In the event of a catastrophic failure on a scale up to and including a citywide disruption, SCP-RA will continue business operations from this offsite facility. Clients will continue to contact us via phone at Toll Free number coming 800-637-2707.
Alternatively, clients can access us at www.scprealassets.com or our clearing firm via Investor Connect.
The BCP is subject to change without notice. Updated summaries are available on request.
If you have any questions regarding this summary, please call 800-637-2707.
How to Submit a Complaint
We take all customer complaints seriously. If you have a complaint regarding your account or the services provided by our firm, you may submit it in writing to:
SCP Real Assets LLC
70 York Street, Suite 700
Toronto, Ontario Canada M5J 1S9
Attention – Compliance
Or send an email to complaints@scprealassets.com or contact us at 800-637-2707.
Written complaints will be reviewed promptly by our Compliance Department, and you will receive a written response acknowledging receipt.
You may also obtain information about the FINRA complaint process at: https://www.finra.org/investors/need-help/file-a-complaint
Website – Terms of Use
The following disclaimers and terms of use (the “Terms”) govern your access to, and use of this Website (the “Website”) as administered by SCP Real Assets LLC (the “Corporation”). Please review these Terms carefully. By confirming your acceptance of these Terms and by accessing and using the Website, you agree to be bound by all the Terms set forth herein. If you do not agree with these Terms, your sole recourse is to refrain from using the Website immediately. You may save and print a copy of these Terms for your reference. The Corporation reserves the right at any time and from time to time to modify or discontinue, temporarily or permanently, the Website (or any part thereof) with or without notice. From time to time, the Corporation may also amend these Terms by posting revisions on the Website with no additional notice to you. You will have an opportunity to review the Terms currently in effect each time you use the Website and will be required to confirm you have done so.
INFORMATION on the WEBSITE
Ownership/Restrictions on Use
The Website is owned and operated by the Corporation. The Website and all text, data, graphics, trademarks, service marks, trade names and other information, visual or other digital material, software (including source code and object codes) and all other content of any description available on the Website (collectively, the “Content”) is the property of the Corporation and/or its licensors. The Website and the Content are protected by Canadian and international copyright, trademark and other applicable laws. Your use of the Website does not transfer to you any ownership or other rights in the Website or any Content. The Website is made available to you for your lawful, personal, non-commercial use only. You may print or download one copy of the Content for your personal, non-commercial use provided that you do not modify any of the Content and you do not remove or alter any visible or non-visible identification marks, notices or disclaimers. You may not use the Content for any other purpose or in any other way. In particular, the Content may not be copied, imitated, reproduced, republished, uploaded, posted, transmitted, modified, indexed, catalogued, mirrored or distributed in any way, in whole or in part, without the express prior written consent of the Corporation.
Third Party Links
The Firm is not responsible for content, security or privacy practices or external sites.
No Advice
The information contained on the Website is for general informational purposes only and is subject to change without notice. The information contained on the Website is unaudited, unless explicitly specified otherwise. The Website is not intended to provide specific individual advice including, without limitation, investment, financial, legal, accounting or tax advice. In this regard, please contact your own professional advisor on your particular circumstances.
No Warranties
THE WEBSITE AND THE CONTENT ARE PROVIDED ON AN “AS IS” AND “AS AVAILABLE” BASIS, WITHOUT ANY REPRESENTATIONS, WARRANTIES OR CONDITIONS OF ANY KIND, WHETHER EXPRESS OR IMPLIED, AND INCLUDING, WITHOUT LIMITATION, IMPLIED REPRESENTATIONS, WARRANTIES OR CONDITIONS OF TITLE, NON-INFRINGEMENT, MERCHANTABILITY, OR FITNESS FOR A PARTICULAR PURPOSE, ALL OF WHICH ARE HEREBY DISCLAIMED BY THE CORPORATION TO THE FULLEST EXTENT PERMITTED BY LAW. THE CORPORATION DOES NOT WARRANT THAT THE CONTENT IS ACCURATE, RELIABLE OR CORRECT; THAT THE WEBSITE WILL BE AVAILABLE AT ANY PARTICULAR TIME OR LOCATION, THAT YOUR ACCESS TO THE WEBSITE WILL BE UNINTERRUPTED; THAT ANY DEFECTS OR ERRORS WILL BE CORRECTED; THAT THE CONTENT IS FREE OF VIRUSES OR OTHER HARMFUL COMPONENTS; OR THAT THE CONTENT IS TIMELY, SECURE OR ERROR-FREE.
Limitations of Liability and Indemnification
THE CORPORATION, DOES NOT ACCEPT ANY LIABILITY FOR YOUR USE OF THE WEBSITE. TO THE MAXIMUM EXTENT PERMITTED BY LAW, THE CORPORATION WILL NOT UNDER ANY CIRCUMSTANCES BE LIABLE TO YOU OR ANY OTHER PERSON FOR ANY LOSS OR DAMAGE (WHETHER DIRECT, INDIRECT, SPECIAL, INCIDENTAL, ECONOMIC, OR CONSEQUENTIAL, EXEMPLARY OR PUNITIVE) ARISING FROM, CONNECTED WITH, OR RELATING TO THE USE OF, OR INABILITY TO USE, THE WEBSITE OR THE CONTENT, OR ANY ACTION OR DECISION MADE BY YOU OR ANY OTHER PERSON IN RELIANCE ON THE WEBSITE OR THE CONTENT, OR ANY UNAUTHORIZED USE OR REPRODUCTION OF THE WEBSITE OR THE CONTENT.
THE CORPORATION SHALL NOT BE RESPONSIBLE OR LIABLE FOR ANY DAMAGES INCURRED TO MOBILE DEVICES, COMPUTER EQUIPMENT OR OTHER TYPES OF EQUIPMENT OR SOFTWARE USED, INCLUDING WITHOUT LIMITATION, FOR VIRUSES THAT MAY INFECT THE FORMER DUE TO THE ACCESS AND USE OF THE WEBSITE OR THE DOWNLOADING OF ANY CONTENT FROM THE WEBSITE.
By using the Website, you agree to defend, indemnify and hold harmless the Corporation and their respective licensors and partners and their respective employees, officers, directors, or agents from any and all claims, liabilities, costs and expenses, including without limitation, reasonable attorneys’ fees and other legal expenses whether in tort, contract or otherwise, relating to or arising out of your use of the Website, or otherwise in connection thereto, or any alleged violation of you by these Terms.
Trademarks
The Corporation and our logo are trademarks of the Corporation or its licensors. Other marks, graphics, typefaces, trademarks and logos appearing on the Website are trademarks or trade dress of the Corporation or its licensors. Such trademarks and trade dress may not be used for any purpose without the Corporation’s express written consent.
Choice of Law & Forum
The Website and these Terms are governed by the laws applicable in the Province of Ontario, Canada. All disputes arising from these Terms must be resolved exclusively by the courts of the Province of Ontario. By using the Website, you represent and warrant that your use complies with applicable law in your jurisdiction of residence.
General
These Terms as well as any other notices posted on the Website constitute the entire agreement between you and the Corporation with respect to your use of the Website. If any provision of these Terms is held to be invalid or unenforceable, such provision will be stricken and the remaining provisions enforced. Notwithstanding any other provisions of these Terms, any provision of these Terms that imposes or contemplates rights or obligations on you or us will survive the expiration or termination of these Terms, including, without limitation, the indemnification and limitation of liability provisions.
If you have any questions regarding these Terms, please contact us at:
SCP Real Assets LLC
70 York Street, Suite 700
Toronto, Ontario M5J 1S9
Canada
Telephone: 800-637-2707
Email: compliance@scprealassets.com
Accessibility Statement
We firmly believe that the internet should be available and accessible to anyone and are committed to providing a website that is accessible to the widest possible audience, regardless of circumstance and ability.
To fulfill this promise, we aim to adhere as closely as possible to the Web Content Accessibility Guidelines 2.1 (WCAG 2.1) at the AA level, published by the World Wide Web Consortium (W3C). These guidelines explain how to make web content more accessible to people with a wide array of disabilities. Complying with those guidelines helps us provide a site that is accessible to all people, from the blind to the motor impaired.
This website utilizes various technologies all meant to make it more accessible. We utilize an interface that allows persons with specific disabilities to adjust the website’s UI (user interface) and design it to their personal needs. This interface replaces the older fashioned method of providing all users with the same, lesser but accessible design or user interface.
Notes, Comments, and Feedback:
Despite our very best efforts to allow anybody to adjust the website to their needs, it is possible that there will still be pages or sections that are not fully accessible, are in the process of becoming accessible, or are lacking an adequate technological solution to make them accessible. Still, we are constantly improving the accessibility interface, adding, updating and improving its options and features, and developing and adopting new technologies. All this is meant to reach the optimal level of accessibility, at any time and in accordance with technological advancements.
If you’ve discovered a bug or malfunction, if you find any aspect of the interface difficult to use and need assistance navigating the website, or if you have improvement ideas, we would like to hear from you. Simply click on the “Feedback” button at the bottom of the accessibility assistant, and fill out the feedback form. Alternatively, you can send an email to our web accessibility team using the following form If you wish to speak with the website owner directly, please contact our team and we’ll provide you with their contact information (we do not publish this information due to data collection and misuse conducted by spambots).
Here are some of the interface’s capabilities:
Additionally, the website utilizes an AI-based application that runs in the background and optimizes its accessibility level every 24 hours. This AI engine remediates the website’s HTML issues, as well as functionality and behavior, to the use of blind people that are using screen readers, and the motor impaired that are using a keyboard to operate websites.
We utilize AI for the following accessibility components:
Browser and Assistive Technology Compatibility:
We aim to support the widest array of browsers and assistive technologies as possible, so our users can choose the best fitting tools for them, with as few limitations as possible. Therefore, we have worked very hard to be able to support all the modern, major and popular systems that comprise over 95% of the users’ market share and include: Google Chrome, Mozilla Firefox, Apple Safari, Opera, Microsoft Edge and I.E 11 or above, JAWS and NVDA (screen readers), both for Windows and for MAC users. This website is operable using other systems and platforms as well, though we are not officially supporting them and recommend users to utilize the aforementioned
Send email to compliance@scprealassets.com
