Privacy Policy

Our commitment to you

In your relationship with Legend Merchant Group, either as an existing or prospective client, you may entrust us with your personal and financial data. We recognize that your relationship with us is based on trust, and that you expect us to act responsibly and in your best interest. Because your personal and financial information is private, we hold ourselves to the highest standards in its safekeeping and use.

We may collect nonpublic personal information about you from the following sources:

• Information we receive from you on account applications or other forms, such as your name, address, telephone number, social security number, income, assets, and investment objectives
• Information about your transactions with us, our affiliates, or others, such as your account numbers and balances, investment activity, and other transaction information maintained by Banc of America Securities, our clearing broker/dealer.
• Information supplied by you when registering online for ThinkEquity sponsored conferences or seminars.

We protect your personal information

We use the information described above to provide the best possible service when administering your account. We may disclose nonpublic personal information in order to provide a service or complete a transaction that you request or authorize, or as otherwise required or permitted by the laws and industry standards that apply to us (e.g. anti-money laundering, regulatory requests). We restrict access to nonpublic personal information about you to employees who need to access the information in order to facilitate and/or administer trade executions. We maintain physical, electronic, and procedural safeguards to protect your nonpublic personal information.

Our privacy policies and practices will continue to apply to your information even if your account is no longer active.

What you can do

For your protection, we recommend that you do not provide your account information to anyone. If you become aware of any suspicious activity relating to your account, please contact us immediately.

We will keep you informed

You may receive notices of changes to our privacy policies or periodic updates of this notice, as required by law.

At Legend Merchant Group we are proud of the trust and confidence we have earned from you. We will continue to earn that trust and confidence by keeping your nonpublic personal information secure and confidential.