DCM DIGITAL CAPITAL MARKETS LLC
PROVIDING INNOVATIVE SOLUTIONS TO HELP CLIENTS SUCCEED
DCM DIGITAL CAPITAL MARKETS LLC
PROVIDING INNOVATIVE SOLUTIONS TO HELP CLIENTS SUCCEED
PROVIDING INNOVATIVE SOLUTIONS TO HELP CLIENTS SUCCEED
PROVIDING INNOVATIVE SOLUTIONS TO HELP CLIENTS SUCCEED
Digital Capital Markets, LLC is an SEC-registered broker-dealer, a member of FINRA , and a SIPC member, that is focused on private placements, private M&A advisory, and private investment banking.
Our capabilities include structuring, asset-backed securities, complex financings, private M&A, and private capital raising to provide funding solutions and help companies accelerate growth.
DCM was founded by its principal and CEO Gary Barnett in 2019 with the mission of delivering innovative client-driven solutions.
Gary has over three decades’ experience in the financial markets and financial regulatory space. He previously served as the first Director of CFTC’s Division of Swap Dealer and Intermediary Oversight (now the Market Participants Division) and as Deputy Director of SEC’s Division of Trading and Markets. After leaving the SEC, Gary founded Fleming Park Global Partners, a consulting firm, and Digital Capital Markets, LLC, an SEC-registered broker-dealer and a FINRA member. Together, DCM and Fleming Park Global Partners (www.flemingparkgp.com) provide solutions to meet clients’ business, finance and regulatory needs.
Before his public service, Gary headed derivatives and structured products practices in global law firms. He advised and structured numerous complex transactions for large financial institutions, including banks, broker dealers, insurance companies, asset managers, private equity firms, hedge funds, and structured vehicles. He has deep knowledge of, and experience with, a wide variety of asset classes, structures and markets as well as investment management, asset servicing and trust and custody law and operations. In addition to complex “on the run” transactions, he has pioneering experience in structuring emerging and esoteric assets, structures and products. Gary was instrumental in creating the first senior sub structures, the first multi-class REMIC, representing the RTC in the establishment and execution of the C Series commercial loan securitization program; the first private label multifamily and commercial loan conduits; the first synthetic ABS; the earliest structured M&A transactions and business and portfolio acquisitions facilitated through total return swaps; a variety of innovative arrangements to facilitate recovery and resolution of complex financings affected by the financial crisis; the design of a blockchain platform that provides a financing capability and an investor governance portal, and the creation of financial products to address value and liquidity issues arising from COVID-19 and balance sheet issues due to new CECL accounting method.
Gary served on the Board of a biomedical technology company that emerged from the convergence of physics, nanotechnology and biomedicine. He currently serves as a non-executive director on the board of directors of Nearwater Capital Markets Limited, a security-based swap dealer and preeminent hedging and risk mitigation counterparty for global banks via total return swaps.
Gary holds FINRA Series 7, 79, 24, and 63 licenses, and is a member of the New York, California, and Oklahoma bars.
Digital Capital Markets LLC does not hold customer funds or securities. Digital Capital Markets, LLC does not provide trading or execution services and is not a trading platform for securities, including digital asset securities; nor are we a trading platform for cryptocurrencies. It has come to our attention that a number of imposters have sought to use the name and address of Digital Capital Markets, LLC to pretend they are a regulated broker-dealer in order to deceive and induce investors to send money to or trade through them. None of them are or are affiliated with Digital Capital Markets, LLC. Please take notice and beware. Please also see Public Alert: Unregistered Soliciting Entities (PAUSE) list published by the Securities and Exchange Commission, which provides a list of entities that falsely claim to be registered, licensed, and/or located in the United States, as well as entities that impersonate genuine U.S. registered securities firms and fictitious regulators, governmental agencies, or international organizations.
Digital Capital Markets, LLC
10211 Fleming Avenue
Bethesda, MD 20814
Tel: 646-522-1522
Digital Capital Markets BrokerCheck
Digital Capital Markets is a member of the Financial Industry Regulatory Authority, Inc. ("FINRA"). FINRA provides investors with a free tool that can be utilized to research the professional backgrounds of current and former FINRA-registered brokerage firms and brokers called BrokerCheck. The telephone number for BrokerCheck is 800-289-9999 and the website address is https://brokercheck.finra.org.
Financial Industry Regulatory Authority, Inc.
Digital Capital Markets, LLC is a member in good standing with FINRA, the Financial Industry Regulatory Authority, Inc. The main FINRA telephone number is +1 (301) 590-6500 and the website address is www.finra.org.
Securities Investor Protection Corporation
Digital Capital Markets, LLC is a member of the Securities Investor Protection Corporation (“SIPC”). The SIPC telephone number is +1 (202) 371-8300 and the website address is www.sipc.org.
Digital Capital Markets, LLC ("Digital Capital Markets" or “we”) from time to time collects nonpublic personal information from our clients. Please read carefully the following disclosure including what personal information we collect, what we do with that information and the procedures we have put in place to protect nonpublic personal information.
Information We Collect: We may collect your personal information through in-person and telephone conversations, written communications via e-mail or our website. We may also collect your personal information through contacting third parties, such as consumer reporting agencies.
Information We Disclose: Our policy is not to disclose any of your nonpublic personal information to third parties without your consent, unless those parties are providing services or support to us and have agreed to keep your nonpublic personal information confidential subject to legal, regulatory or other governmental requirements. Examples of these nonaffiliated third parties include attorneys, accountants or auditors.
Protection of Information: Digital Capital Markets protects your nonpublic information from access by third parties by maintaining physical, electronic and procedural safeguards. Digital Capital Markets restricts access to your information to those employees who need access to the information to fulfill their job responsibilities.
Cookie Policy: Digital Capital Markets uses cookies to recognize when you visit our website, remembers your preferences and gives you a personalized experience. Cookies also make your interactions faster. Any browser visiting our website will receive cookies from us. If you do not want to receive cookies, you can also change your browser settings on your computer or other device you’re using to access our services. If you use our website without changing your browser settings, we’ll assume that you’re happy to receive all cookies on our website. Most browsers also provide functionality that lets you review and erase cookies.
For California Residents under the California Consumer Privacy Act (CCPA): Do Not Sell My Personal Information – Digital Capital Markets offers you certain choices about how we use your information. The California Consumer Privacy Act (“CCPA”) gives California residents the right to opt out of the “sale” of their personal information. Digital Capital Markets may provide some of your information, including hashed contact information or identifiers along with your interests and/or activities on our website and device identifiers, to third parties in order to improve the marketing messages you receive and to enhance the data they have about you for their own marketing purposes. Under the CCPA, certain of this sharing may be a “sale of personal information” and California residents can opt out of this by writing to us at Digital Capital Markets, LLC, 10211 Fleming Avenue, Bethesda, MD 20814.
Further Information: Digital Capital Markets reserves the right to change this Privacy Policy. The examples contained within this Privacy Policy are illustrations and are not intended to be exhaustive.
Digital Capital Markets does not provide investment advice and does not make recommendations of securities to investors. No one associated with Digital Capital Markets is authorized to render any investment advice or make any recommendations of securities to investors. The company issuing securities is the client of Digital Capital Markets. If you are an investor, you are not a customer or client of Digital Capital Markets. Your decision to invest is yours alone, with the help of your professional and legal advisors. Digital Capital Markets explicitly disclaims any responsibility for product suitability or investors’ investment decisions.
Digital Capital Markets, LLC has developed a Business Continuity Plan (“BCP”) 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 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.
Contacting Us – If after a significant business disruption (“SBD”) you cannot contact us as you usually do at (646) 522-1522 or gary.barnett@digitalcapitalmarkets.net, you should call our alternative number (202) 818-0658.
Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant SBD and respond by safeguarding our employees, protecting all of our books and records, and making a financial and operational assessment, in order to fulfill our legal and regulatory obligations. This BCP is designed to permit us to resume operations as quickly as possible, given the scope and severity of the SBD.
The BCP 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, and regulatory reporting. Given our function in providing private placements and investment banking services, we do not hold customer funds or securities nor do we take orders or employ any clearing facility for the purposes of settlement.
Significant Business Disruptions (SBDs) – The Firm’s plan takes into account two kinds of Significant Business Disruptions, internal and external. Internal SBDs affect only our ability to communicate and do business, such as a fire or loss of electrical power in the office or building. External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a natural disaster, or another event that causes a wide-scale, regional disruption in essential services. In all cases, we will endeavor resume normal business operations as soon as it is able to do so, based on the type and the extent of the disrupting event. In the event of a SBD, we may move our primary office to a back-up location, in addition to remote working, as necessary. In such situation, we plan to continue in business and notify you of how to contact us.
For more information – If you have any questions regarding our Business Continuity Plan, please contact Gary Barnett, Chief Compliance Officer, by email: gary.barnett@digitalcapitalmarkets.net or by phone at (646) 522-1522.
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