ACCESS SECURITIES, LLC March 18, 2026
FORM CRS CLIENT RELATIONSHIP SUMMARY
1. INTRODUCTION
Access Securities, LLC is registered with the Securities and Exchange Commission as a broker-dealer and member of FINRA and SIPC. The date of this Form CRS is March 18, 2026. Brokerage and investment advisory services and fees differ; it is important for you to understand the differences. Free and simple tools are available to research firms and financial professionals at: www.investor.gov/CRS which also provides educational materials about broker-dealers, investment advisers and investing.
2.WHAT INVESTMENT SERVICES AND ADVICE CAN YOU PROVIDE ME?
Services: Our firm’s financial professionals may recommend private placements exempt from U.S. securities registration under Regulation D to accredited retail investors or qualified purchasers. Private placements are only suitable for people who are familiar with and willing to accept the illiquidity and high risk of loss associated with private placement investments. Securities purchased in private placements are not publicly traded and are intended for investors who do not have a need for a liquid investment. There can be no assurance that the securities price/valuation is accurate or that it is in agreement with the market or industry valuations. In addition, you will likely receive restricted securities that may require a holding period before resale is permitted. Companies seeking private placement investments tend to be in earlier stages of development and have not yet been fully tested in the public marketplace. A private placement investment requires high-risk tolerance, low need for liquidity, and long-term capital commitments.
Monitoring: We do not offer retail investors investment monitoring services.
Investment Authority: We do not accept or offer discretionary authority services.
Limited Investment Offerings: Our financial professionals recommend only private placement investments for which our firm is approved, and do not offer other securities products or investment advisory services. Some of our firm’s investment professionals solicit and recommend to select accredited investors or qualified purchasers that they purchase private placements as part of their securities portfolio holdings. We do not offer proprietary products.
Account Minimums: There is no minimum account size or investment amount for a retail investor to open a traditional brokerage account.
Questions to ask:
Given my financial situation, should I choose a brokerage service? Why or why not?
How will you choose investments to recommend to me?
What is your relevant experience, including your licenses, education, and other qualifications? What do these qualifications mean?
3.WHAT FEES WILL I PAY?
Principal Fees and Costs: Our financial professionals may recommend private placements, which are discussed in detail in No. 2 above. The fees and costs associated with an investment in a private fund are listed in the private placement memorandum which is given to all prospective investors and which we recommend you review carefully before making an investment decision. Typically, two and twenty’ is the traditional fee structure for investing in private funds, which is comprised of an annual 2% management fee on the total investment to cover the funds operating costs, and a 20% performance fee (or carried interest) on profits which the manager receives. Most funds include a high-water mark ensuring that the manager only takes a percentage of profits if the fund surpasses its previous higher value, sometimes called a ‘hurdle rate’ which must be met before the performance fee is charged. This fee structure aligns manager incentives with investor returns You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying.
Other Fees and Costs: Any other fees or costs are passed through to the retail investor such as wire fees, custodian fees, account maintenance fees, other transactional fees, and product-level fees.
Additional Information: “You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying.” When an accredited retail investor purchases a private placement, our firm is paid a fee for introducing the investor by the issuer of the private placement but the investor does not pay our firm for this service. Our firm does not offer mutual funds or variable annuities.
Questions to ask:
Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?
Standard of Conduct: Associated fees and costs for investing in private funds are not uniform and vary according to the private placement memorandum. Our firm’s financial professionals recommend private placements to accredited investors and qualified purchasers.
“When we provide you with a recommendation, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interest. You should understand and ask us about these conflicts because they can affect the recommendations we provide you. Here are some examples to help you understand what this means. When we recommend investing in private funds, we receive compensation from third parties.
Questions to ask:
How might your conflicts of interest affect me, and how will you address them?
Additional Information: Conflicts of interest exist as investors in private placements pay different fees as stated in the private placement memorandum. Certain principals and registered representatives of our firm are also partners in an affiliated SEC-registered investment adviser under common ownership and may receive partnership distributions from its profits, which creates a potential conflict of interest that we address through supervisory oversight of affected personnel.
How do your financial professionals make money?
When our financial professionals recommend a private placement to an investor, our firm is paid by the manager or issuer for introducing our client and recommending that they make a direct investment in their private fund.
4.DO YOU OR YOUR FINANCIAL PROFESSIONALS HAVE LEGAL OR DISCIPLINARY HISTORY?
No. Free and simple search tools are available to retail investors who visit www.Investor.gov/CRS to research our firm and financial professionals.
Questions to ask:
As a financial professional, do you have any disciplinary history? For what type of conduct?
5. ADDITIONAL INFORMATION
For additional information on our brokerage services, please find our website at www.accesssecurities.com or visit our FINRA BrokerCheck which can be found on the following link: https://brokercheck.finra.org/firm/summary/22455 If you would like to request a complimentary copy of our client relationship summary, Form CRS, please contact us in writing at 140 Elm Street, Suite 7, New Canaan, CT 06840 or call us at (800) 331-6171 and we will promptly provide it to you free of charge.
Questions to ask:
Who is the primary contact person for my account? Is he or she a registered representative of a broker-dealer? If I have concerns about how this person is treating me, who can I talk to?
Exhibit to Form CRS Dated March 18, 2026
Access Securities, LLC has made some changes to its Form CRS since the last version was issued on November 1, 2021.
Item 2
We no longer offer traditional securities brokerage services.
Item 3
We no longer offer execution services on or receive commissions from transactions in public markets.
We recommend investment opportunities in private placements to accredited and qualified purchasers and receive compensation from third parties.
Item 5
We moved our main Connecticut office location from Stamford to 140 Elm Street, Suite 7, New Canaan, CT 06840. Our telephone number remains the same 203-322-3377