Privacy Statement

BLAYLOCK BEAL VAN, LLC

This privacy statement reflects the policy of BLAYLOCK BEAL VAN, LLC. It describes how “nonpublic personal information”, which includes customer personal and financial information, may be collected and shared, as well as the steps we take to protect this information from unauthorized access.

This policy applies both to current and former customers, and is designed to comply with the privacy provisions in Title V of the Gramm-Leach-Bliley Act, as well as applicable federal privacy regulations.

We take great care to safeguard your information and to ensure its accuracy.

  • We limit employee access to nonpublic personal information to those who need to know this information in order to serve customer relationships. Employees are educated about the importance of privacy in accordance with our Customer Privacy Policies and Procedures.
  • We maintain physical, electronic and procedural safeguards that comply with all applicable regulatory standards to guard your nonpublic personal information.
  • We strive to maintain complete, current and accurate information about you and your investments.

We collect and maintain nonpublic personal information in order to:

  • Facilitate and service your investments.
  • Identify you and protect your accounts from unauthorized access or identity theft.
  • Inform you of investment opportunities that can meet your needs now and in the future.

This information may be collected from a variety of sources, including:

  • Information we receive from you on application forms or other documents, such as your name, address, and financial information.
  • Information we receive through your investments, accounts and holdings.

We do not sell your information to any third parties.

Information may be shared with non-affiliated third parties only when those parties are acting on our behalf, or as required or permitted by law. These third parties may include:

  • Our clearing firm(s) and service providers who provide support services to help facilitate and administer your investments. These services providers are legally obligated to maintain the confidentiality of the information we provide to them, and are restricted from using this information for any reason beyond the performance of specified services on our behalf.
  • Other parties as permitted or required by applicable law. These may include, for example, government agencies in response to subpoenas and other legal processes, consumer reporting agencies, or those with whom you have authorized us to share information.

You may advise us that you do not want us to share this information with non-affiliated third parties except as necessary to facilitate your investments and as required by law by completing and mailing the attached Opt-Out Request Form. Please allow a reasonable period of time (up to 90 days) for us to process your request.

OPT-OUT REQUEST FORM

Please exclude me from information sharing as described above.

Please print:

DATE

NAME

ADDRESS APT. NUMBER

CITY STATE ZIP CODE

SOCIAL SECURITY NUMBER (Required to process your request)

Please provide a telephone number that we may use to contact you if we have questions:

( _____ )

Please complete all information, and mail it to us at

Blaylock Beal Van, LLC

c/o Compliance Department

600 Lexington, Ave, 3rd Floor

New York, New York 10022