We are providing you with this privacy notice to inform you of how we handle your personal information that we collect and may disclose to our affiliates. Federal law gives consumers the right to limit some, but not all, sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.

If we change our information practices, we will provide you with notice of any material changes. This privacy policy supersedes any prior disclosure concerning our privacy policies.

WHY THIS PRIVACY POLICY APPLIES TO YOU

You are receiving this notice because you may obtain a financial product or service through us for personal, family or household purposes.

COLLECTION OF INFORMATION

The information we collect is used in conjunction with the regular processing of business. We obtain nonpublic personal information about you from the following sources:

• information we receive from you on applications, questionnaires, from interviews, and on forms you provide to us, such as your name, address, telephone number, Social Security number, occupation, assets and income;
• information about your transactions with us, our affiliates or others; including account balances, trading activity and money transfers;
• information provided to us by our clearing firms, third-party service providers, mutual fund and insurance companies, our Registered Representatives, your former Broker/Dealer, and consumer reporting agencies about you.

INFORMATION WE MAY PROVIDE TO OTHERS

We do not share your personal information for marketing, or joint marketing purposes. Should this change, we will notify you prior to sharing any information. When available, we will offer you the ability to limit sharing of your personal information.

Categories of Affiliates to Whom We May Disclose Personal Information. We may share personal information about you with our affiliates.

When We May Disclose Your Personal Information to Unaffiliated Third Parties. We will only share your personal information collected, as described above, with unaffiliated third parties:

• at your request;
• with unaffiliated third parties, such as our clearing firms, product sponsors, and banks in order to carry out your instructions;
• with unaffiliated third party vendors in order to create and maintain records of your account, such as when we provide information about your account to third party vendors to create a statement;
• as required by law. For example, the firm may be required to respond to a subpoena, or a governmental or regulatory request.

We do not otherwise provide information about you to outside firms, organizations or individuals except to our attorneys, accountants and auditors and as permitted by law.

What We Do To Protect Your Personal Information

We protect personal information provided to us by our individual investors according to strict standards of security and confidentiality. These standards apply to both our physical facilities and any online services we may provide. We maintain physical, electronic and procedural safeguards that comply with federal standards to guard consumer information. We permit only authorized individuals, who are trained in the proper handling of individual investor information and need to access this information to do their job, to have access to this information.

Notwithstanding, the security of data transmitted over the internet (including by e-mail) cannot be guaranteed and carries the risk of access and interception. You should not transmit any personal information to us through channels not approved by us, such as unencrypted email.

FURTHER INFORMATION

For additional information please call us at 855-320-1414 or write us at Preferred Capital Securities, LLC, 3290 Northside Parkway NW, Suite 800, Atlanta, Georgia 30327.