Regulatory Disclosures

Regulatory Disclosure Statement, LLC ("EnergyNet" collectively with, LLC’s affiliates, parent companies, subsidiaries, and agents) Regulatory Disclosures:

The U.S. Securities and Exchange Commission ("SEC"), the Financial Industry Regulatory Authority, Inc. ("FINRA"), and other regulators have various rules and regulations that require broker-dealers to disclose certain policies and procedures including, but not limited to, client identification, business continuity and investor protection. In accordance with these various regulatory requirements and industry best practices, and to give its clients transparency into the Firm's policies and procedures,, LLC. ("EnergyNet" or the "Firm") is providing the following regulatory disclosures to its clients.

Vulnerability Disclosure Policy

As trusted broker and partner, EnergyNet takes seriously our responsibility to protect customer information, including financial and personal information, from unwarranted disclosure.

Should a vulnerability be discovered, EnergyNet encourages reporting of the vulnerability to the EnergyNet Security team to afford EnergyNet the opportunity to remediate the findings.

You must comply with all applicable Federal, State, and local laws in connection with any security research activities.

Reporting a Vulnerability or Software Bug to EnergyNet

Bug reports, including vulnerability reports may be sent to Reports should include a description of the location and potential impact of the issue along with detailed descriptions of the steps required to reproduce the observed behavior. Please contact us prior to sending any sensitive or potentially dangerous information via email, and we will provide an alternate exchange.

Vulnerability Disclosure

EnergyNet is committed to patching vulnerabilities within 90 days or less and disclosing vulnerability details when remediation is complete. Although we do not require coordinated disclosure, we prefer and encourage coordinated disclosure as responsible security practice.

EnergyNet may share vulnerability reports with US-CERT, or affected upstream vendors or projects. We will not share personal information or information about our communications with vulnerability reporters without permission.

Our Business Continuity Plan ("BCP")

EnergyNet 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.

Contacting Us

If, after a significant business disruption you cannot contact us as you usually do at 877-351-4488, you should call our alternative number 806-418-0035, email or go to our web site at

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 back up 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.
Varying Disruptions

Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within 3 days. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within one week. In either situation, we plan to continue in business, transfer operations to another location if necessary, and notify you through our web site or our customer emergency number, 806-418-0035 on how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customers prompt access to their funds and securities.

For more information

If you have questions about our business continuity planning, you can contact us at 877-351-4488.

Our Customer Identification Program ("CIP")

In an effort to assist the government in their fight against money laundering and terrorism within the United States, federal law mandates that all financial institutions obtain, verify and record specific information that identifies each person and/or entity that opens an account. When opening an account at EnergyNet we are required by law to collect the following information from you:

  • Your name
  • Date of birth
  • Address
  • Social security number or employer identification number, or; if you are a non-U.S. citizen we will require a taxpayer identification number, passport number, country of issuance, alien identification card number or government-issued identification showing nationality, residence and a photograph of you.
  • We also require a copy of your driver's license or passport or any legal document with a photograph of you that has been issued by a state or federal authority.

The Customer Due Diligence Requirements for Financial Institutions Rule (the "CDD Rule") promulgated by the Financial Crimes Enforcement Network ("FinCEN") requires EnergyNet to identify and verify the identity of beneficial owners of its legal entity clients. Unless an exemption to the CDD Rule applies, EnergyNet is required to obtain from its clients all information and documents required by FinCEN in order to comply with the CDD Rule.

Investor Education and Protection Disclosure (Rule 2267) - FINRA BrokerCheck

FINRA BrokerCheck is a free tool that assists investors by providing background and regulatory information on current and former FINRA member firms and registered representatives. This information can be obtained at or by calling the FINRA BrokerCheck Hotline toll-free number at 1-800-289-9999. A copy of an investor brochure that includes information describing FINRA BrokerCheck can be obtained by calling the FINRA BrokerCheck Hotline number or accessing the FINRA website.

A BrokerCheck Hotline number or accessing the FINRA website.

SIPC Notification (Rule 2266) - Information on the Securities Investor Protection Corporation ("SIPC")

SIPC was created by the Securities Investor Protection Act of 1970 ("SIPA") and its primary purpose is to provide protection within the limits of the SIPA to securities clients of failed brokers or dealers who are members of the SIPC., LLC. is a member of the SIPC. Information on SIPC and the SIPC Brochure is available at, by contacting SIPC at (202) 371-8300, or by sending an email request to


In accordance with SEC Rule 17a-3(a)(18)(ii), please be advised that any complaints may be directed to the following:, LLC
ATTN: Wildon Woolley
7201 I-40 W. Suite 319
Amarillo, TX 79106
Phone: (806) 351-2953.
For More Information

If you have any additional questions please contact our Compliance Department at (806) 351-2953.