July 28, 2016

Privacy Policy

NMS Capital Advisors., shares your concerns about privacy. We understand that you want to know how we handle personal information we secure from you or other sources in the course of providing you with investment products and services.

What kind of personal information doe we have, and where did we get it?
Most, if not all, of the personal information that we have about you comes directly from you. Your Financial Advisor records information that you provide, such as your name and address, financial information, investment experience, occupation and address of employer, birth date, social security number, e-mail address, phone number, etc. We also keep and maintain records of any securities or money positions held in your account. We may also collect personal information from outside sources, including consumer reporting agencies and CRD (Central Registration Depository) if you are, or were, associated with the securities industry.

What do we do with the personal information we have about you?
It is our policy not to disclose any personal information to non-affiliates that might use your personal information to contact you about their own products and services. We educate our employees to protect your personal information. Within NMS Capital Advisors your personal information is available only to those individuals who are involved in servicing your financial needs or in supervisory activities. Your Financial Advisor will use your personal information to help evaluate your financial position and establish appropriate investment objectives. This information may be used, if appropriate, to make recommendations to you about specific products and services.

Under certain conditions, we may, as permitted by law and without your permission, provide personal information to persons or servicing agents (securities clearing organizations such as AXOS Clearing LLC), regulatory or law-enforcement authorities, and persons requesting information pursuant to a subpoena or court order. Finally, should your relations with NMS Capital Advisors., end, your personal information will remain protected in accordance with our privacy practices outlined in this notice.

How can you find out what information we have about you?
You may ask to see or obtain a copy of any personal information we have in our records. If any of the information is believed to be incomplete or inaccurate, you may request that we make any necessary and appropriate changes. Please send any request to NMS Capital Advisors, LLC – 9171 Wilshire Blvd STE 500, Beverly Hills, CA 90210

We hope you have found this communication helpful. If you have any questions or would like more information, please do not hesitate to contact your Financial Advisor.