Privacy Policy

Why We Collect and How We Use Information:

We limit the collection and use of Information to the minimum we require in order to deliver superior service to you. Such services include but are not limited to providing investment banking, capital raising and financial valuation services.

How We Gather Information:

We get most Information directly from you, when you use the financial services offered by our firm. We may verify this Information or get additional information about you from consumer reporting agencies or public sources. This Information may relate to your finances, employment, as well as transactions and interactions with our firm or others.

How We Protect Information:

Our employees are required to protect the confidentiality of Information and to comply with our established policies. They may access Information only when there is an appropriate reason to do so, such as to administer our services. We also maintain physical, electronic and procedural safeguards to protect Information, which comply with all applicable laws. Employees who violate our Privacy Policy are subject to disciplinary process.

Disclosure of Information:

We may disclose any Information without your consent, to or when we believe it necessary for the conduct of our business, or where law requires disclosure in the following situations: (i) Information may be disclosed for audit or research purposes, to attorneys or other professionals, or to law enforcement and regulatory agencies; or to third party services providers: (a) to enable them to provide business services to our firm; (b) to facilitate the processing of transactions requested by you; (c), to assist us in offering products and services to you; or (d) for financial reporting and accounting purposes.

Except in these situations outlined above, we will not make any disclosures of Information. It is Commonwealth Capital, LLC’s policy to require all third parties that are to receive any Information to sign strict confidentiality agreements.

Former Clients:

Even if you are no longer a client of our firm, our Privacy Policy will continue to apply to your Information provided or obtained during the course of your relationship with Commonwealth Capital, LLC.

Electronic Archiving:

Pursuant to the books and records regulations promulgated by both the Securities and Exchange Commission and FINRA, we are also informing you that your Information and all related electronic correspondence (including email) are electronically archived.

Further Information:

We reserve the right to change this Privacy Policy at any time and without prior notice. The examples contained within this Privacy Policy are illustrations only. This notice is made in order to comply with recently enacted Federal Law and new SEC regulations regarding your privacy rights. You may have additional privacy rights under other foreign or domestic laws that may apply to you.

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