Crescendo Markets LLC (“Crescendo Markets,” “we,” “our,” or “us”) is committed to protecting the confidentiality and security of our clients’ personal and financial information.

Information We Collect

We may collect the following types of information:

• Nonpublic Personal Information (NPI): Information provided on applications, subscription agreements, and onboarding forms, including name, contact details, financial data, Social Security number, tax identification number, and investment preferences.
• Transactional Information: Records of investments, account balances, and financial activity.
• Regulatory and Due Diligence Information: Data collected for compliance with anti-money laundering (AML) laws, the USA PATRIOT Act, and Know Your Customer (KYC) requirements.
• Website and Digital Usage Data: Information obtained from website visits, including IP addresses, cookies, and site analytics for security and fraud prevention purposes.

How We Use Your Information

We use collected information for the following purposes:

• Providing investment advisory and financial services
• Processing transactions and maintaining accounts
• Complying with regulatory and legal obligations
• Preventing fraud and unauthorized account access
• Enhancing our services and improving client experience

How We Protect Your Information

Crescendo Markets maintains physical, electronic, and procedural safeguards to protect client data from unauthorized access or disclosure. We do not sell or share personal information with third parties except as required by law or necessary to provide our services.

Information Sharing and Disclosure

We may share personal information with:

• Regulatory Agencies: SEC, FINRA, SIPC, and other authorities for compliance and reporting.
• Service Providers: Clearing firms, auditors, and compliance consultants who assist in financial operations.
• Legal and Compliance Authorities: In response to subpoenas, investigations, or other legal obligations.

Retention of Information

We retain client records for a minimum of six years, or as required by SEC and FINRA regulations. Some records may be maintained for longer periods to meet legal or compliance obligations.

Your Rights and Choices

Depending on applicable laws, you may have the right to:

• Request a copy of the personal data we maintain
• Request corrections to inaccurate information
• Opt out of certain types of data processing

For privacy-related inquiries, contact:
Email: compliance@crescendomarketsllc.com
Phone: +1 (646) 443-6700

Updates to This Privacy Policy

This policy may be updated periodically to reflect changes in regulations or business operations. Clients will be notified of any material changes.