This notice describes the privacy policy of Business Alliance Financial Services, LLC (further referred to as BAFS) and its affiliates (collectively referred to as “we”, “our” and “us”). Your trust in handling confidential information of your customers is very important to us. Our Privacy Policy treats all non-public personal information (“personal information”) with care, integrity and respect for the privacy of our client customers.

Information We Collect

We collect and retain information from clients whose customers are requesting products and services offered by BAFS. We collect nonpublic personal information from the following sources:

Information we received from customer applications and other forms (for example, name, address social security number, assets and income);

Information about customer transactions from clients and/or it affiliates, or non-affiliated third parties such as mutual fund companies, insurance companies, accountants, other financial institutions, and/or prior brokerage firms (in the case of an account transfer);

Information obtained when verifying information provided on customer applications or other forms; and

In most cases, we may collect information from consumer reporting agencies.

We have procedures to ensure that all information is safeguarded in a commercially reasonable manner so that it is accurate, current and complete. Keeping customer information secure is one of the most important responsibilities of our staff. We restrict access to non-public personal information to those employees and agents who need to know the information in order to provide products and services requested by our clients on behalf of their customers. We maintain physical, electronic and procedural safeguards that comply with federal standards to guard non-public personal information. We also have procedures to ensure that requests to correct inaccurate or incomplete information are acted on in a timely manner.

Disclosure of Personal Information to Non-Affiliated Third Parties

We do not disclose or sell personal information about any client customer or their affiliated businesses or business associates to non-affiliated third parties, except as permitted or required by law or regulation. We may disclose all of the information we collect to companies with whom we have a financial service agreement, including the submitting client and its affiliates. We have entered into a written agreement with every client associated with BAFS to offer financial services whereby the client agrees to comply with applicable Privacy Regulations to protect the confidential information of the customer.

Disclosure of Personal Information in Other Circumstances

We are dedicated to providing high quality services to every client customer. Our relationships with clients are structured to protect the personal information of every customer that requests services from BAFS. We do not release or sell customer information to telemarketing companies. All personal account information are guarded when submitted to BAFS through the secure web portal BLAST.

Access to personal information of the customer is limited to those employees, registered representatives and agents who may need to know that information to provide products or services to our clients and their customers. They are required to maintain the confidentiality of all customer information.

Although privacy regulations generally prohibit the sharing of personal information, we may share the following information pursuant to specific exceptions:

Disclosures made to other financial institutions pursuant to the Gramm-Leach-Bliley Act.

Disclosures that are necessary to effect administer or enforce a transaction for a financial service or product that the customer requests or authorizes.

Disclosures to credit agencies, in compliance with our obligations under the Federal Credit Reporting Act.

Disclosures permitted in order to prevent fraud, control risk, or as otherwise required by law.

Clients that perform services on behalf of BAFS

The above disclosures are permitted under the Regulations of the Federal Trade Commission. There may be some states in which we do business that would prevent us from disclosing personal information in one or more of the situations described above without a right to opt-out or a requirement to opt-in. We will respect the state requirements as they may apply to our affected clients and their customers.

When we share confidential member information with a third party, these companies are contractually obligated to keep the information that we provide to them confidential and use the information only for the services required and as allowed by applicable law or regulations, and are not permitted to share or use the information for any other purpose. That is, we require such third parties to agree to safeguard personal information regarding our customers in accordance with our own privacy policies.

Availability of Disclosure of Privacy Policy

The Privacy Policy for BAFS is available at our main office location and on our website at: our website. We reserve the right to make changes to this policy at any time. Our clients will become aware of any changes in the way we collect or share information in writing before any changes occur.

Email Communications

We will never sell or give email information to any third party. If any client/customer should elect to provide us with personal information via email, we suggest that they do not transmit any personal identifying information that they do not enter themselves or that is not sent in a secure manner. All emails and data should be forwarded through the BAFS website located at www.bafsllc.com, which encrypts data through our ZixCorp system.

Each client, customer, BAFS staff member or the public can enroll and given a personal password to be able to transmit confidential information through the BAFS ZixCorp site. Simply contact us.

We are committed to providing a useful and user-friendly website to our clients and their customers. We also place a high priority on protecting the privacy of those who select to submit information via our website or emails. The password should be easy to remember but difficult for others to guess and changed frequently. NEVER reveal your password to anyone. If you think that, your password is no longer secure or is forgotten, contact us and change your password immediately, or contact Lisa Crawford at (318) 328-1132 Ext. 101 or [email protected], so that necessary steps are taken to protect your access.

All information submitted to BAFS is used internally only for fulfilling the request or for contacting the customer directly and is not given or sold to any other organization.

If you have any questions, you may contact our office at (318) 387-1132 .