PRIVACY POLICY

Indy Wealth Solutions, LLC (IWS) considers the confidentiality of customer information a top priority. In accordance with the Gramm-Leach-Bliley Act and SEC Regulation S-P, “Privacy of Consumer Financial Information,” IWS has adopted this privacy policy to address safeguards for the protection of your records and information. We want you to know how we use and protect personal information we obtain from you or other sources in the course of providing you with investment products and services.

What Information We May Collect

We collect information needed, including what is required by law and regulation, for our everyday business purposes so that we can provide services to you, such as process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus. Most if not all the personal information we have about you comes directly from you, on applications, forms and other information you provide, whether in writing, in person, by telephone, through your Advisor, electronically or by other means. Such information includes your name, address, financial information, occupation, address of employer, birth date, social security number, e-mail address, phone number, etc. We also maintain records of your account history.

Protecting Your Information

We maintain both physical and electronic safeguards in accordance with federal law and regulatory standards. Employee access to customer information is restricted to those who have a need to know in order to provide you with our services or to comply with laws and regulations. Employees who have access to individual information receive training required to follow company procedures designed to keep that information confidential. We destroy documents that may contain customer information before discarding them. When you are no longer our customer, we continue to safeguard and share your information as described in this notice.

Disclosure of Nonpublic Personal Information

IWS DOES NOT SELL OR SHARE CUSTOMER INFORMATION WITH ANY AFFILIATES OR NON-AFILLIATES FOR THE PURPOSES OF MARKETING OR JOINTLY MARKETING PRODUCTS OR SERVICES TO YOU. WE WILL ONLY SHARE CUSTOMER INFORMATION WITH OTHERS AS STATED IN THIS POLICY, UNLESS WE PROVIDE YOU WITH ADDITIONAL NOTICE OR ASK FOR YOUR PERMISSION, AS REQUIRED BY LAW OR RULE.

We may share Customer Information with unaffiliated third parties who perform services for IWS or in connection with servicing the accounts and products that you have with us. These parties include other financial service providers, such as Shareholders Service Group or Altruist, LLC, clearing firms, such as Pershing LLC, attorneys, accountants, auditors, administrators, insurance companies, payment processing companies, and data processing companies, who assist us in a number of ways in servicing accounts, for example, in fulfilling service requests, processing transactions, producing or providing reports, statements or other communications for you or your Advisor.

Linking to Third Party Websites. We may provide links to third party websites. If you follow links to third-party websites not affiliated or controlled by IWS, you should review that third-party’s privacy and security policies and other terms and conditions, as they may be different from our Privacy Policies and Notice. We do not guarantee and are not responsible for the privacy or security of these third-party websites, including the accuracy, completeness, or reliability of their information.

We may disclose Customer Information we maintain about you to credit bureaus, regulatory agencies and similar organizations when required or permitted by law. Such shared information may include a disclosure in connection with a subpoena or similar legal process, an investigation, an audit, or examination or requirement under the USA PATRIOT Act. In addition, we may exchange information with reference sources and clearinghouse services for purposes of credit reporting and verification, but we do not share information with affiliates or non-affiliates about your creditworthiness.

Protecting your privacy is an ongoing concern. We evaluate security standards and procedures in order to protect your information with the best available means. Please notify us if it ever appears that our records contain incomplete or inaccurate information about you. We will promptly investigate your concerns and make any necessary corrections. IWS will provide customers an initial notice of its privacy policy at the time of opening an account, and thereafter it will provide annual privacy updates. IWS reserves the right to make changes to this policy. The statement of this Privacy Policy including updates is available at our home office, on our company website at www.indywealthsolutions.com, and wherever such documents are required. The Compliance Officer is responsible for implementing and monitoring this policy.