Global Alliance Securities, LLC (“GA”)

PRIVACY PRACTICES NOTICE

Global Alliance Securities, LLC (“GA”) as a 15a-6 Service Provider is committed to protecting the privacy of our 15a-6 clients, 15a-6 client’s account holders and investment banking clients. In order to issue and service high quality financial products and services, we collect entity and personal information about 15a-6 clients, 15a-6 client’s account holders and investment banking clients. We do not sell the information to third parties, and we disclose your personal information only as necessary to provide the products and services expected from a financial services leader. To help you understand how we protect your personal information, this notice describes our current privacy policy and practices. During the continuation of the relationship with GA, we will advise you of any changes in our privacy policy and practices at least once annually, as required by law.

You do not need to take any action as a result of this notice, but you do have certain rights as described below.

INFORMATION WE MAY COLLECT AND USE

We collect information about you, which we may share now or in the future. We do this to help us identify you as our customer or our former customer, to process your transactions and requests quickly, to provide investment services to you or tell you about products or services we believe you may want and use.

Information we collect includes: 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.

Information from 15a-6 clients, 15a-6 client’s account holders and investment banking clients:

_ Legal Name

_ Principal Place of Business and related business addresses

_ Certificate of Incorporation Entity

_ Articles of Incorporation /Formation Document

_ Corporate Resolution of Authorized persons

_ Partnership Agreement (when applicable)

_ Trust Agreement (when applicable)

_ Copy of Government ID of Signatories and Traders

_ Tax identification Number/Employer Identification Number

_ Government – Issued Identification Number (when applicable)

_ Delivery and Settlement Instructions

_ Certification of Beneficial Ownership Identification Information

Entity

  1. Entity Name & Entity Place of Business Address
  2. Certificate of Incorporation for Entity
  3. Articles of Incorporation/Formation documents
  4. Tax ID Number
  5. Corporate Resolution of Authorized persons.
  6. Copy of Authorized persons Government ID (including home address)

Person/Individual

  1. Name
  2. Address
  3. Date of Birth
  4. Tax ID Number
  5. Copy of Government ID

_ Other information that will allow us to identify 15a-6 clients, 15a-6 client’s account holders and investment banking clients.

  • 15a-6 clients, 15a-6 client’s account holders and investment banking clients shall provide GA information such as name, address, Social Security number, financial, and employment history
  • Information about transactions – GA shall keep information about your transactions with GA.
  • Information from outside of GA – GA collects other information that may include but not limited to information from consumer reporting agencies and international anti-money laundering reporting agencies such as credit history, credit scores, driving, or employment records. It may also include information from other individuals or businesses, such as demographic information, criminal violations and security violations.


    We do not collect medical or health information in connection with securities business.

HOW WE TREAT YOUR INFORMATION

GA may share the information described above with our service provider. These providers may require access to information about 15a-6 clients, 15a-6 client’s account holders and investment banking clients to process or service transactions requested and to provide efficient services. GA’s service providers may be affiliated or unaffiliated, and may include financial service providers (for example, third party administrators, broker-dealers, insurance agents and brokers, registered representatives, companies that perform marketing services on our behalf, reinsurers, other financial institutions with whom we have joint marketing agreements) or non-financial companies and individuals (for example, consultants and vendors).

Please be assured that GA requires these service providers to safeguard personal information and to use or disclose it only for the work they are performing on GA’s behalf, or as permitted by law.

GA may provide information to regulatory authorities and law enforcement officials in accordance with applicable law or to others when GA believe in good faith that the law requires it. In the event of a sale of all or part of one of GA’s business lines, GA may share 15a-6 clients, 15a-6 client’s account holders and investment banking client’s information related to that business as part of the transaction. Unlike many other financial institutions, GA does not sell or share information with marketers outside GA who may want to offer their own products and services.

SECURITY OF INFORMATION

Keeping 15a-6 clients, 15a-6 client’s account holders and investment banking client’s information secure is one of our most important responsibilities. GA maintains physical, electronic and procedural safeguards to protect information.

MAKING SURE INFORMATION IS ACCURATE

GA requires that we have accurate information about 15a-6 clients, 15a-6 client’s account holders and investment banking clients. Generally, upon written request, GA will make personal information available for review. Information we have collected in connection with or in anticipation of a claim or legal proceeding will not be made available. If you believe that any of GA records are inaccurate, 15a-6 clients, 15a-6 client’s account holders and investment banking clients may notify us in writing of any corrections, amendments or deletions that believed should be made. Questions about accessing or correcting your personal information should be directed to Global Alliance Securities, LLC 2464 Darts Cove Way, Mt. Pleasant, South Carolina 29466 and Attn: Jennifer O’Shea and/or John P. O’Shea. Please describe the information to be corrected.