Privacy Policy

Privacy Policy Statement

Effective Date: May 5, 2025

1. Information We Collect

We collect nonpublic personal information about you from various sources to provide you with investment advice and financial services. These sources may include:

• Information you provide in applications and other forms (such as your name, address, Social Security number, assets, and income)
• Information from transactions with us or others (such as account balances, holdings, and account activity)
• Information received from third parties, such as custodians, financial institutions, or other advisors

2. How We Use Your Information

We use your personal information to:

• Deliver investment advisory services tailored to your financial goals
• Manage your accounts and process transactions
• Comply with regulatory requirements
• Communicate with you about your account, investments, and our services

3. Client Communications, Including SMS

We may use various channels to communicate with clients, including email, phone, mail, and text messaging (SMS). By providing your mobile phone number to Warren Capital Group, you consent to receive SMS communications regarding:

• Appointment confirmations or reminders
• Account activity or service updates
• Compliance and regulatory notices
• Other information relevant to your financial relationship with us

Message and data rates may apply, depending on your mobile carrier and plan. You may opt out of SMS communications at any time by replying “STOP” to any text message or by contacting us directly. SMS messages are not used to transmit personal login credentials or sensitive financial advice.

We do not share your mobile opt-in data with third parties for their marketing purposes.

4. Disclosure of Information

We do not disclose nonpublic personal information about our clients or former clients to anyone, except as permitted by law. This may include disclosure to:

• Regulatory authorities as required by law
• Service providers assisting in account management or compliance
• Custodians or broker-dealers involved in servicing your account

All third parties with whom we share information are required to maintain its confidentiality and use it only for the intended purpose.

5. How We Protect Your Information

We maintain physical, electronic, and procedural safeguards to protect your personal information. Access is restricted to employees and service providers who need the information to deliver our services or meet legal requirements. We regularly review our security practices to ensure the safety of your data.

6. Your Rights and Choices

You have the right to:

• Review the personal information we maintain about you
• Request corrections to any inaccurate information
• Opt out of certain communications, including SMS messages
• Ask questions or raise concerns about our privacy practices

To exercise any of these rights, please contact our office at 854-246-8881 or email parker@warcap.com.

7. Updates to This Policy

We may update this Privacy Policy from time to time. When we make material changes, we will notify you as required by law. The latest version will always be available upon request and on our website.

Contact Us

If you have any questions about this policy or your personal information, please contact:

Warren Capital Group
677 King Street, 3rd Floor,
Charleston, SC, 29403
parker@warcap.com
warcap.com