REGULATORY DISCLOSURES

FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.

Global Alliance Securities, LLC (“GA”) is a member of FINRA, the Financial Industry Regulatory Authority, Inc. The main FINRA telephone number is (301) 590-6500 and the website address is www.finra.org.

SECURITIES INVESTOR PROTECTION CORPORATION

Global Alliance Securities, LLC is a member of Securities Investor Protection Corporation (“SIPC”). The SIPC telephone number is (202) 371-8300 and the website address is www.sipc.org

CUSTOMER COMPLAINTS SHOULD BE DIRECTED TO THE FOLLOWING:

Customer Complaints Any customers complaint with regard to this account can be directed to the, Compliance Department, Global Alliance Securities, LLC  2464 Darts Cove Way, Charleston (Mt. Pleasant), South Carolina 29466

Customer Identification Program for On Boarding Account

IMPORTANT INFORMATION YOU NEED TO KNOW ABOUT ON BOARDING AN ACCOUNT

To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person or entity that opens an account.

This notice answers some questions about Customer Identification Program.

WHAT TYPES OF INFORMATION WILL I NEED TO PROVIDE?

We are required to collect the following information:

– Legal name

– Business address

– Corporation, partnership, or, certified articles of incorporation

– Tax identification number

– Other information that will allow us to identify you

We may request additional identifying documents, such as principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, partnership agreement or trust agreement.

U.S. Department of the Treasury, Securities and Exchange Commission, FINRA and New York Stock Exchange rules already require you to provide most of this information. These rules also may require you to provide additional information.

WHAT HAPPENS IF YOU DON’T PROVIDE THE INFORMATION REQUESTED OR YOUR INSTITUTION’S IDENTITY CAN’T BE VERIFIED?

GA may not be able to on board the account or carry out transactions for your firm. If GA has already on boarded an account for your firm, we may have to close it.

We thank you for your patience and hope that you will support the financial industry’s efforts to deny terrorists and money launderers access to the United States  financial system.