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| ROGO Capital LLC |
Privacy Policy
How We Use and Protect Your Personal Information
ROGO Capital shares your concerns about privacy. We understand that you want to know how we treat the personal and professional information
that we obtain from you or other sources in the course of providing you with products and services. As you may know, your securities account is
introduced by us to Sterne, Agee & Leach, Inc. (“Stern Agee”). Through this relationship, Stern Agee is responsible for the protection of your
assets under SIPC regulations. As part of this arrangement, Sterne Agee maintains your account records and provides protection of your
personal information similar to ROGO Capital’s privacy policies (please refer to Stern Agee’s privacy policy brochure for more details).
Use of Personal Information
We do not disclose any personal information to companies or organizations not affiliated with ROGO Capital that would use the information we
have provided to contact you about their own products and services.
We may use your personal information for investment purposes or to help you with your overall investment program. We may also use your
personal information to communicate with you about products or investments that you have expressed an interest in or that we believe may be of
interest to you. In addition, we may, as permitted by law and without your prior permission, provide personal information about you contained in
our records or files to persons or organizations such as:
Types and Sources of Personal Information
Much of the personal information that we have about you comes directly from you. You disclosed much of this information to us during the course
of our business relationship. We may have contacted you by telephone, email or regular mail for additional information. We also keep
information about the investments you purchase from us, as well as account balances and payment history. We may also collect personal
information from outside sources, including consumer reporting agencies. This information may include credit reports. Depending on the nature
of your relationship with us, you may be required to provide us or our affiliates with information. That information may include, for example, your
name, address, birth date, phone number, Social Security number or E-mail address.
How We Protect Your Personal Information
When we share personal information with companies working on our behalf, we protect that personal information where required by law with a
confidentiality agreement that obligates those companies to conform to our standards and keep confidential any information about you that we
may give them. Within ROGO, your personal information is available to those individuals who may need to see it to fulfill and service your needs.
In addition, we communicate regarding the need to protect your information to those individuals who have access to it, and we've established
physical, electronic, and procedural safeguards to protect your information. Finally, should your relationship with ROGO Capital end, your
personal information will remain protected in accordance with our privacy practices as outlined in this Notice. If you have any questions or would
like more information, please don't hesitate to contact us by telephone, (561) 988-2600 or by email at info@rogocapital.com.
How We Use and Protect Your Personal Information
ROGO Capital shares your concerns about privacy. We understand that you want to know how we treat the personal and professional information
that we obtain from you or other sources in the course of providing you with products and services. As you may know, your securities account is
introduced by us to Sterne, Agee & Leach, Inc. (“Stern Agee”). Through this relationship, Stern Agee is responsible for the protection of your
assets under SIPC regulations. As part of this arrangement, Sterne Agee maintains your account records and provides protection of your
personal information similar to ROGO Capital’s privacy policies (please refer to Stern Agee’s privacy policy brochure for more details).
Use of Personal Information
We do not disclose any personal information to companies or organizations not affiliated with ROGO Capital that would use the information we
have provided to contact you about their own products and services.
We may use your personal information for investment purposes or to help you with your overall investment program. We may also use your
personal information to communicate with you about products or investments that you have expressed an interest in or that we believe may be of
interest to you. In addition, we may, as permitted by law and without your prior permission, provide personal information about you contained in
our records or files to persons or organizations such as:
- Persons who perform a business function for us;
- Regulatory or law-enforcement authorities; and/or
- ROGO Capital affiliated companies.
Types and Sources of Personal Information
Much of the personal information that we have about you comes directly from you. You disclosed much of this information to us during the course
of our business relationship. We may have contacted you by telephone, email or regular mail for additional information. We also keep
information about the investments you purchase from us, as well as account balances and payment history. We may also collect personal
information from outside sources, including consumer reporting agencies. This information may include credit reports. Depending on the nature
of your relationship with us, you may be required to provide us or our affiliates with information. That information may include, for example, your
name, address, birth date, phone number, Social Security number or E-mail address.
How We Protect Your Personal Information
When we share personal information with companies working on our behalf, we protect that personal information where required by law with a
confidentiality agreement that obligates those companies to conform to our standards and keep confidential any information about you that we
may give them. Within ROGO, your personal information is available to those individuals who may need to see it to fulfill and service your needs.
In addition, we communicate regarding the need to protect your information to those individuals who have access to it, and we've established
physical, electronic, and procedural safeguards to protect your information. Finally, should your relationship with ROGO Capital end, your
personal information will remain protected in accordance with our privacy practices as outlined in this Notice. If you have any questions or would
like more information, please don't hesitate to contact us by telephone, (561) 988-2600 or by email at info@rogocapital.com.
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