PRIVACY POLICY

Ballista Securities, LLC is committed to protecting the privacy of our customers and former customers. In order to issue and service high quality financial products and services, we collect personal information about you. We do not sell the information you have entrusted to us to third parties. We disclose your personal information only as necessary to provide the products and services you expect 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 your relationship with Ballista Securities, LLC, we will advise you of our privacy policy and practices at least once annually, as required by law.

Information Provided by Investors/Partners

Due to regulatory requirements and in the course of conducting business, Ballista Securities, LLC typically obtains the following non-public personal information about our clients:

•	Information such as, name, address and social security/tax id number.
•	Financial information such as assets, income, investment experience and investment objectives, affiliated entities and clearing firm.

Protecting Client Information

Ballista Securities, LLC does not sell information about current or former clients to non-affiliated third parties, nor is it our practice to disclose such information to non-affiliated third parties unless, if necessary, it is in order to properly service an account or as required by law. We do share investor account information with our clearing firm, and with outside companies that perform administrative services for us, including our accountants, insurance providers and legal counsel. However, our contractual arrangements with our service providers require them to treat our investor information as confidential.

Nonpublic information is gathered and kept only to the extent necessary to comply with applicable state and federal regulations. Ballista Securities, LLC has established security standards to ensure against unauthorized access to customer information.

In addition, Ballista Securities, LLC employees are trained regarding its privacy policy, and although they may have access to your information on a need-to-know basis only, they are not permitted to release your personal financial information to any unauthorized individual or entity.

Client Notifications

We are required by law to annually provide a notice to investors describing our privacy policy and to notify them of any interim modifications. For questions regarding the Ballista Securities, LLC Privacy Policy, please call us at 646.307.4700 or email us at help@ballistasecurities.com.