PRIVACY POLICY

An important part of the relationship we have with our clients is the information they share with
us. We want each client to know how we treat their private information. We keep personal
information such as Social Security Numbers and account balances confidential. We take steps to
safeguard this data from anyone who should not have access to it. We do not sell this information
to anyone. In dealing with 1522 Financial, LLC, clients can expect that we will take the steps
outlined below to keep all their information confidential and secure.

OUR PRIVACY POLICY
In providing financial services and products to our clients, we collect certain non-public
information about them. Our policy is to keep this information confidential and strictly
safeguarded, and to use or disclose it only as needed to provide services to our clients, or as
permitted by law. Protecting your privacy is important to us.

INFORMATION WE COLLECT
The non-public personal information we have about clients includes what they give us when
opening an account or communicating with us. This could include:

• Name and address

• Social Security Number

• Investment objectives and experience

• Financial circumstances

• Employment history

• Account balance and account transactions

HOW WE SHARE YOUR PERSONAL INFORMATION
We do not sell personal client information to anyone.

Affiliates. We may share personal information about you with our affiliated companies for
everyday business purposes, however, our affiliated companies are not permitted to use this
information to market their products or services to you.

We do not disclose personal information about our clients to non-affiliated third parties, without
expressed written consent. We may disclose anonymous information that cannot be linked to an
individual client on occasion, but only to companies that we hire to help us provide products and
services to our clients, or as required by law, or as authorized by the client personally, or as
otherwise described in this Privacy Policy.

Service Providers. Companies and individuals that provide services on our behalf or help us
operate our services and business (such as IT, hosting, investment trading, customer relationship
management and support, print and mail fulfillment, data management, email delivery, etc.).

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Service-Related Third Parties. Brokers, custodians, administrators, transfer agents, investment
funds and their respective managed and other non-affiliated third parties as necessary to provide
our services to you.

HOW INFORMATION IS USED
We use your personal information for the following purposes:

Service Delivery. We use your personal information to provide, operate, and improve the Service;
execute your transactions; provide support for the service; and respond to your inquires, questions
and feedback.

Compliance and Operations. We may use your personal information to: comply with applicable
laws, lawful requests, and legal process, such as to respond to subpoenas or requests from
government authorities; protect our, your or others’ rights, privacy, safety or property (including
by making and defending legal claims); audit our internal processes for compliance with legal and
contractual requirements and internal policies; and prevent, identify, investigate and deter
fraudulent, harmful, unauthorized, unethical or illegal activity, including cyberattacks and identity
theft.

HOW INFORMATION IS SAFEGUARDED
We have procedures in place that we believe are reasonably designed to protect the security and
confidentiality of client information. These include confidentiality agreements with companies we
hire to help us provide services to clients, password-protected user access to our computer files,
and strict confidentiality policies that apply to all Firm personnel, vendors and contractors.

YOUR DATA CHOICES
You have the following choices with respect to your personal information:

Decline to provide information. We need to collect personal information to provide certain services. If
you do not provide the information requested, we may not be able to provide those services.

How to contact us. You can reach us in the following ways:

 

• Office Location: 2250 East 73rd Street, Suite 415, Tulsa, Oklahoma 74136

• Mail: P.O. Box 701528, Tulsa, Oklahoma 74170

• Email: compliance@1522financial.com

• Phone: (539) 233-5160