Privacy Pledge and Notification

Aurora Capital LLC respects your right to privacy. We have always been committed to secure the confidentiality and integrity of your personal information. We are proud of our privacy practices and want our current and prospective customers to understand what information we collect and how we use it.

Why We Collect Your Information

We gather information about you and your accounts so that we can (i) know who you are and thereby prevent unauthorized access to your information, (ii) design and improve the products and services we offer and (iii) comply with the laws and regulations that govern us.

What Information We Collect

We may collect the following types of 'nonpublic personal information' about you:

Information about your identity, such as your name, address and social security number;

Information about your transactions with us;

Information we receive from you on applications, such as your finances or employment.

What Sources We Use to Obtain Your Information

We collect nonpublic personal information about Aurora Capital LLC clients such as you from the following sources:

Information we receive from you on applications or other forms; and

Information about your transactions with us, or others.

We may collect information from outside credit agencies or other sources.

Our clearing firm may collect personal information as well.

What Information We Disclose

We do not disclose any nonpublic personal information about our customers or former customers to anyone, except as permitted or required by law. Moreover, we will not release information about our customers or former customers unless one of the following conditions is met:

We receive your prior written consent.

We believe the recipient to be you or your authorized representative.

We are required by law to release information to the recipient.

We only use information about you and your account to help us better serve your investment needs or to suggest services or educational materials that may be of interest to you.

As a broker-dealer, we must keep certain records, prepare and provide various reports and respond to inquiries under various laws, rules and regulations, including, but not limited to the Bank Secrecy Act, the Annunzio-Wylie Anti Money Laundering Act of 1992, the USA Patriot Act (of 2001). This may involve the provision of nonpublic personal information about our customers. A number of agencies are involved in regulating in these areas, including, the Treasury Department (including the Department’s Office of Foreign Assets Control (OFAC)), the Federal Reserve Board of Governors and others.

Confidentiality And Security

We maintain physical, electronic and procedural safeguards to guard your personal account information. We also restrict access to your personal and financial data to authorized Aurora Capital LLC associates who have a need for these records. We require all nonaffiliated organizations to conform to our privacy standards and obligate them to keep the information provided confidential and used only as requested, required and for matters related to the reasons for which such information was provided. Furthermore, we will continue to adhere to the privacy policies and practices described in this notice even after your account is closed or becomes inactive.

We will continue to conduct our business in a manner that conforms with our pledge to you, your expectations and all applicable laws.

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