Privacy Policy

This Privacy Policy covers: WealthForge Securities, LLC (“WealthForge”, “we,” “our,” or “us”). We do not disclose information to non-affiliated companies except as described below.

1. Acknowledgement and Acceptance of Terms 

WealthForge is committed to protecting your privacy. This Privacy Policy sets forth our current privacy practices regarding the information collected about you. 

2. Third-party Policies 

You may have received this privacy notice through a website or an email from a website or other third party, but this Privacy Policy does not apply to any third parties, and WealthForge is not responsible for their content. If you visit external websites, we recommend that you review their privacy policies. The collection, further use, or disclosure of your information by issuers, unaffiliated service providers or by other third parties is not the responsibility of WealthForge. Such collection, use, or disclosure is governed by the third parties’ privacy policies. 

3. Personal Information We Collect About You 

To complete your transactions, WealthForge will ask you or your financial professional to provide personal information about you (such as your name, address, social security number, income or net worth information, etc.) that is relevant to your request for participation in a transaction. WealthForge may also collect information about your transactions with WealthForge affiliates or non-affiliated third parties such as issuers of securities. You may also be asked to disclose other nonpublic personal information to us so that we can provide assistance and information to you.   We will not disclose personally identifiable information about you to non-affiliated third parties without your permission, except to the extent permitted by law.

4. How We Use and Share Personal Information 

WealthForge may share your nonpublic personal information with our affiliates and non-affiliated third parties as necessary:

• To provide products or services you have requested, when in receipt of your permission, or under certain limited circumstances.
• To inform you of products, services, or opportunities that may be available through WealthForge.
• To administer our business, and our products and services in a manner consistent with this Privacy Policy and all applicable laws, rules, regulations, or other legal obligations.

WealthForge is not in the business of selling information about you to advertisers or other third parties, and we do not sell your Personal Information for monetary consideration. WealthForge does not share your personal information to nonaffiliated organizations except in compliance with this Privacy Policy and applicable law, rules, and regulations. For example:

• We may provide such information to companies who work on behalf of or with us, subject to confidentiality agreements. We may also compile and use aggregated, anonymized data that does not directly or indirectly identify you or compromise your personal information in violation of this policy.
• We may share information that you provide with the issuer and sponsor of the offering in which you have expressed an interest, the other broker-dealers providing services for that issuer and sponsor, as well as other companies providing services in connection with the offering, (e.g., escrow agents and banks, credential-checking services, the issuer’s special purpose vehicle(s) for that offering, and other financial intermediaries such as transfer agents, investment advisors, etc.).
• We may share information that you provide to respond to subpoenas, court orders, or other similar legal obligations and processes, comply with regulatory requests and audits, or to establish or exercise our legal rights or defend against legal claims. In addition, we will share such information if we reasonably believe it is required by law or it is necessary to investigate, prevent, or take action regarding illegal activities or suspected fraud or the rights or property of WealthForge or third parties.
• We may transfer information about you to any acquirer or successor of WealthForge if and to the extent that we are acquired by or merged with another company. 

5. Security of Your Personal Information

WealthForge maintains reasonable physical, electronic, and procedural safeguards that comply with applicable laws and regulations to protect personal information about you and works with vendors and partners to protect the security and privacy of user information. We restrict access to your personal information to those employees who need the information to perform their job responsibilities.

6. Changes to this Policy 

WealthForge has discretion to update this Privacy Policy at any time. If we make any material changes to this Privacy Policy we will update the Privacy Policy’s effective date and post the updated Privacy Policy on our website.

7. Notice of Residents of California and Nevada 

WealthForge encourages residents of California and Nevada to review this Privacy Policy each time you receive it to stay informed about the use of your information. 

California Residents:

California law requires that WealthForge obtain your affirmative consent before sharing your nonpublic personal information with non-affiliated third-party companies unless otherwise allowed under law without notice. 

The California Consumer Privacy Act requires that we inform you of your rights, provide a list of the categories of personal information it has collected about consumers in the past twelve (12) months and detail what categories of personal information it sells or discloses. 

To request the personal information in our possession or that we have disclosed to a third party, please contact us via either https://www.wealthforge.com or (804) 308-0431. To request that your personal information be deleted, please email privacy@wealthforge.com or call (804) 308-0431.

Categories of Personal Information WealthForge collects: Section 3 above details the categories of personal information we collect from investors or their financial professional. 

Categories of Personal Information WealthForge has sold in the past twelve (12) months: WealthForge acts solely as a service provider and does not sell personal information. 

Categories of Personal Information WealthForge has disclosed in the past twelve (12) months: Section 4 above details how we use your personal information. In each case, disclosure is subject to applicable privacy law and is limited to the extent the third party needs the information. 

WealthForge has disclosed the following types of personal information to third parties in the past twelve (12) months: 

• To issuers of securities: name, date of birth, accreditation status, SSN, bank account information, suitability information (including income or net worth estimates). 
• To broker-dealers or advisors: name, date of birth, accreditation status, SSN, bank account information, suitability information (including income or net worth estimates) of their subscribers. 
• To regulators: name, date of birth, accreditation status, SSN, bank account information, suitability information (including income or net worth estimates). 
• To third-party service providers: name, date of birth, SSN, bank account information. 

Any information provided to WealthForge will be used for the purpose of completing the transaction or maintaining the Firm’s books and records pursuant to applicable federal securities laws, rules, and regulations.

In addition, California Civil Code Section 1798.83 permits California residents to request information regarding the disclosure of your personal information by WealthForge to its affiliates and/or third parties for their direct marketing purposes. To make such a request, please send an email with your first name, last name, mailing address, email address, and telephone number to privacy@wealthforge.com or write to WealthForge at the address set forth in the Contacting Us section below. Please include "California Privacy Rights" in the subject line of your email.

8. Notice to European Union Members 

Data subjects in the European Union have the following principal rights under data protection law: 

1. the right to withdraw consent; 
2. the right to access; 
3. the right to rectification; 
4. the right to erasure; 
5. the right to restrict processing; 
6. the right to data portability; 
7. the right to object to processing; 
8. the right not to be subject to decisions made solely on automated processing; and 
9. the right to complain to a supervisory authority. 

9. Contacting Us 

If you have questions regarding this Privacy Policy, please contact us at privacy@wealthforge.com or send your comments to:

WealthForge Attention: Privacy Policy Representative and Data Protection Officer
3015 W. Moore St., Suite 102
Richmond, VA 23230