A global financial and strategic advisor focused solely on the clean economy and the energy transition.
- North America
- Europe
- Latin America
- Asia Pacific
General
In the United States, the website and its contents are made available by Marathon Capital Markets, LLC, a broker-dealer registered with the U.S. Securities and Exchange Commission (“SEC”) (SEC#8-52256). Marathon Capital Markets, LLC provides financial advice on mergers, acquisitions, financial restructurings, and similar corporate finance matters; conducts underwriting and private placements of securities to institutional clients; and engages in research activities under the name [Marathon Capital. Marathon Capital Markets, LLC is a member firm of the Financial Industry Regulatory Authority Inc. (“FINRA”) (CRD#103767) and the Securities Investor Protection Corporation (“SIPC”).
The information and materials 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 Marathon Capital is not authorized to provide such information or services.
Marathon Capital Markets, LLC makes the following disclosures.
USA Patriot Act Notice
The USA Patriot Act and other applicable rules and regulations require us to obtain, verify, and record information to identify each entity or individual that enters into a business relationship with Marathon Capital, LLC. We will ask for your name, address, date of birth (as applicable), and other identification information. In addition, if you enter into a new client relationship with Marathon Capital, LLC on behalf of a legal entity, we will ask for the names, addresses, dates of birth and other identification information of the beneficial owners of the legal entity. This information will be used to verify your identity and, in the case of a legal entity customer, the identity of the beneficial owners. We may use a third-party source to confirm the information you provide us. As appropriate, we may, in our discretion, ask for additional documentation or information or refuse to enter into a business relationship.
SEC Rule 17a-3(a)(18)(ii) Customer Complaint Notice
Marathon Capital Markets, LLC, in accordance with SEC Rule 17a-3(a)(18)(ii) is furnishing this statement to provide you with a name, telephone number and address, if you need to report or notify us of a possible complaint. If you have a complaint, please contact our Chief Compliance Officer, Cass Heckman, immediately by telephone at (312) 858-4706 or by mail at:
Marathon Capital
200 West Madison Street
Suite 3700
Chicago, IL 60606
Attention: Chief Compliance Officer
General
In the United Kingdom, the website and its contents are made available by Marathon Capital Ltd, a MIFID investment firm authorised and regulated by the Financial Conduct Authority (“FCA”) (FCA firm reference number 957356). Marathon Capital Ltd´s FCA corporate finance permissions include advising on investments (except on pension transfers and pension opt outs), arranging deals in investments, making arrangements with a view to transactions in investments as defined in the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 and agreeing to carry on regulated activity.
The information and materials provided on this website is published solely for informational purposes and is not to be construed as a solicitation or an offer to buy or sell any securities or related financial instruments or as an offer or solicitation to conduct investment business as defined by the Financial Services and Markets Act 2000. It has no regard to the specific investment objectives, financial situation or particular needs of any person using this website and as such does not constitute individual investment advice or a personal recommendation.
The information and materials provided on this website may relate to services of an entity/person incorporated and operating outside of the UK or to other matters which are not regulated by the FCA. In such case, the provision of such services will not have the benefit of UK regulatory protections, including those provided in respect of the FCA rules.
Additional Disclosures
Marathon Capital Ltd makes the following disclosures.
For more detail, please visit:
Conflicts of Interest Policy Summary
In Europe, the website and its contents are made available by Marathon Capital Germany GmbH, a tied agent appointed and acting in the name and on behalf of Rhotham Vermögensverwaltungsgesellschaft Deutschland mbH, registered with the German Federal Financial Supervisory Authority (“BaFin”) (BaFin ID number 10124379) and authorised to render financial services in regulated activities in Germany and throughout the European Union (in accordance with the passporting regime and applicable law and regulation) in relation to financial instruments to the extent they may constitute “investment brokerage” (Anlagevermittlung) for purposes of § 1 para 1a No. 1 of the German Banking Act and “investment advice” over financial instruments (Anlageberatung) for purposes of § 1 para 1a No 1a of the German Banking Act.
The content provided on this website is provided for information only and is not intended to be, or construed as being, investment advice or services, nor is anything contained in it a recommendation of any particular security or investment. No content on this website is, or should be construed as, an offer to, or a solicitation of, any person in Germany, to sell or buy any security or investment.
In Canada, Marathon Capital Markets, LLC is registered as an exempt market dealer in each of Alberta, British Columbia, Ontario, and Québec and only conducts business in Canada with “permitted clients”.
The content provided on this website is provided for information only and is not intended to be, or construed as being, investment advice or services, nor is anything contained in it a recommendation of any particular security or investment. No content on this website is, or should be construed as, an offer to, or a solicitation of, any person in Canada, to sell or buy any security or investment. You alone will bear the sole responsibility of evaluating the merits, risks and all other circumstances associated with your use of such content when using this website or taking any action related to your account or otherwise. There is no guarantee that any investment or strategies will be achieved and the value of investments may change frequently. In considering prior performance information, if any, contained on this website, you should bear in mind that past performance is not indicative of future results, and there can be no assurance that any investment strategy will achieve comparable results. Prospective investors who are not resident in Canada should consult with their financial advisor to determine whether these products and services may be lawfully sold in their jurisdiction.