We at MS Capital Management, L.L.C. are committed to
safeguarding the personal information of our customers. This notice will help you understand how we safeguard and use the information we
Why and How We Collect Personal Information: We collect information that assists us in servicing your financial needs. This
information helps us provide you with a high standard of customer service, process your transactions, provide products that may interest
you and fulfill legal and regulatory requirements. The personal information we collect includes:
||Information collected on applications and
related forms, for example, name, address, social security number, and annual income.
||We may also receive information about you from
consumer reporting agencies.
How We Protect Information: Our employees maintain and
protect the confidentiality of your personal information by utilizing physical, electronic, and procedural safeguards.
Disclosure of Information:
||Non-affiliated third parties - We may
disclose any personal information to or when we believe it necessary for the conduct of our business, or where disclosure is required by
law. For example, personal information may be disclosed for audits, to attorneys or other professionals, or to law enforcement and
regulatory agencies as necessary to protect our property or rights. In addition, we disclose personal information to third party service
providers such as clearing firms to enable them to provide business services for us by performing computer related or data maintenance or
processing services, to facilitate the processing of transactions requested by you, and to assist in offering products and services. Except
in those specific, limited situations, without your consent, we will not make any disclosures of your personal information to other
companies who may want to sell their products or services to you. For example, we do not sell customer lists and we will not sell
your name to a catalogue or any marketing agencies. MS Capital Management, L.L.C.'s policy requires all third parties to sign strict
Former Customers: This policy applies to former
customers as well as current customers.
Maintaining Accurate Information: We strive to maintain
complete and accurate information on you and your accounts. We will give you reasonable access to the information we have about you. If you
Further Information: We reserve the right to change this
complies with Federal law and SEC regulations regarding privacy.
If you have accounts managed by MS Capital Management, L.L.C., and you would like a copy of our Form ADV, Part II please fax your request to:
MS Capital Management, L.L.C. Attn: ADV Department at (480) 816-1947
or send a written request to: MS Capital Management, L.L.C., Attn: ADV Department,
16434 E. Fairlynn, Fountain Hills, AZ 85268
This notice is being furnished on behalf of MS Capital Management, L.L.C.
Investment Adviser Registered in the state of Arizona
16434 E. Fairlynn
Fountain Hills, AZ 85268
Securities offered through First Allied Securities, Inc. A registered broker/dealer. Member FINRA & SIPC MS Capital Management, L.L.C. is a registered investment adviser in the state of Arizona. Investment advisory services offered to residents of states in which MS Capital Management, L.L.C. is registered. Neither First Allied Securities, Inc. nor Pershing Securities,LLC. endorses or supports this web site, nor are they affiliated with MS Capital Management, L.L.C