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BioPharma Capital takes great care to safeguard the privacy of the personal information that we collect about our customers. This notice is provided to you so that you will understand what personal information we collect and how we use it.

We may collect non-public personal information from you from the following sources:

1. Information that you provide to us during our process and to update your records. This may include your name, address, Social Security number, employment and financial information.

2. Information we collect from third parties. This may include such things as information about transactions between you and third parties (trading history and account balances) and data that we may obtain from non-affiliated third parties, including consumer and industry reporting agencies.

3. Information that we create and retain based on your investment experience with us. This may include records of previous transactions and the results of those transactions. BioPharma Capital uses the non-public information we collect to help us determine the suitability of our recommendations, as a tool in obtaining your investment objectives and to satisfy the requirements of various regulatory entities.

BioPharma Capital has adopted policies and procedures designed to safeguard your non-public personal information about existing or former customers to non-affiliated third parties. Only properly authorized employees are permitted access to non-public personal information. Our company records are kept in locations we consider to be secure. We use technology that is designed to protect the privacy of the information transmitted and received.

It is our policy not to disclose nonpublic personal information about existing or former customers to non-affiliated third parties, except as permitted by law. However, we do disclose and will continue to disclose such non-public personal information to non-affiliated third parties in response to a subpoena for records, to assist regulators and law enforcement agencies to prevent actual or potential fraud, money laundering, acts of terrorism or other illegal activity, to comply with an inquiry by a government agency or other regulator or as necessary for other legal purposes.

BioPharma Capital strives to keep your records accurate and to make appropriate corrections when you notify us. Please let us know if there is incorrect information in any statements or other communications that you receive from us.

We may modify our privacy policies in the future. If we do so, we will communicate any material changes to you as required by law. You should be aware that other parties with whom you have a relationship may have different privacy policies.

Securities and Investment Banking Services are offered through Ashland Securities, LLC. Supervised by the Home Office, located at 80 S.W. 8th Street, Suite 2000 Miami, Florida 33130. Phone Number 305-279-3176. Member FINRA SIPC. Please refer to BrokerCheck for more information about Ashland Securities, LLC. BioPharma Capital, LLC and Ashland Securities, LLC are separate and unaffiliated entities.

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©2016 BioPharma Capital

BioPharma Capital, LLC   La Jolla, CA   USA
Phone: +1 619 208-8439