Mangrove Advisors, LLC Customer Information Privacy Policy

Like most industries today, the financial services industry is rapidly being shaped by technology, which is changing the way we do business. To be successful in this environment, we must continue to ensure that we will manage our customer’s financial affairs pragmatically and confidentially. At Mangrove Advisors, LLC, our customers have access to a broad range of investments and services. To deliver these products and services as effectively and conveniently as possible, it is essential that we use cu...

1. California Consumer Privacy Act of 2018 (“CCPA”): The CCPA is a piece of legislation that provides California residents rights over the information collected and retained by businesses like ours. At Mangrove Advisors, LLC, we believe the standards established by the CCPA should apply to all our customers, irrespective of where they reside. As outlined below, our clients have the right to know: the type of information we collect, the right to delete the information we collect – subject to exceptions, an...

2. Recognition of a Customer’s Expectation of Privacy: At Mangrove Advisors, LLC, we believe the confidentiality and protection of customer information is a fundamental responsibility. While information is critical to providing quality service, we recognize that one of our most important assets is customer trust and confidence. Thus, the safekeeping of customer information is a priority.

3. Collection and Retention of Customer Information: Mangrove Advisors, LLC limits the use, collection, and retention of customer information to what is necessary or useful to effectively conduct business and provide quality service to our clients. Information collected may include, but is not limited to: a client(s) name, address, telephone number, tax identification number or social security number, date of birth, employment status, annual income, net worth, financial statements and previous tax filings,...

4. Maintenance of Accurate Information: Mangrove Advisors, LLC recognizes that it must maintain accurate customer records. Therefore, we have established procedures to maintain the accuracy of customer information and to keep such information current and complete. These procedures include responding to requests to correct inaccurate information in a timely manner.

5. Limiting Employee Access to Information: At Mangrove Advisors, LLC, employee access to personally identifiable customer information is limited to those with a business reason to know such information. Employees are educated on the importance of maintaining the confidentiality of customer information and on the Privacy Policy. Because of the importance of these issues, all Mangrove Advisors employees are responsible for maintaining the confidentiality of customer information, and employees who violate the ...

6. Protection of Information via Established Security Procedures: Mangrove Advisors, LLC recognizes that a fundamental element of maintaining effective customer privacy procedures is to provide reasonable protection against unauthorized access to customer information. Therefore, we have established appropriate security standards and procedures to guard against any unauthorized access to customer information.

7. Restrictions on the Disclosure or Sale of Customer Information: When it comes to sharing or selling customer information with unaffiliated companies, Mangrove Advisors, LLC places strict limits on who receives specific information about customer accounts and other personally identifiable data. We may share information with unaffiliated companies that assist in providing investments and critical services to our customers only in the normal course of our business. Additionally, only in situations when leg...

8. Maintaining Customer Privacy in Business Relationships with Third Parties: If we provide personally identifiable customer information to a third party with which we have a business relationship, we will insist that the third party keep such information confidential, consistent with the conduct of our business relationship and subject to a Non-Disclosure Agreement and/or Confidentiality Clauses.

9. Provision of Opt Out: Mangrove Advisors, LLC currently operates under a “do not share” and “do not sell” policy. Therefore, given our strict policy, we do not need to provide the right for its clients to opt out of sharing or selling with nonaffiliated third parties.

10. Disclosure of Privacy Policy to Customers: Mangrove Advisors, LLC recognizes and respects the privacy expectations of our customers. We want our customers to understand our commitment to privacy in our use of customer information. As a result of our commitment, we have developed this Privacy Policy which we made readily available to our customers. Customers who have questions about the Privacy Policy, want to request a detailing of the information we maintain on their behalf, or have a question about the Privacy Policy, want to request a detailing of the information we maintain on their behalf, or have a question about the privacy of their customer information should call us at 310-889-5432 or e-mail us at Pablo@mangroveadvisors.io.

The Privacy Policy applies to individuals, and we reserve the right to change the Privacy Policy and any of the policies or procedures described above, at any time without prior notice. The Privacy Policy is intended for general guidance and does not constitute a contract or create legal rights and does not modify or amend any agreements we have with our customers.