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Our Services

The following describes how Hexagon Capital Alliance LLC, (“HCA”) handles your personal information, and what steps we take to protect your privacy.   We do not disclose your personal information to any unaffiliated third party for marketing purposes.   If you cease doing business with us or otherwise become a former customer, we will treat your nonpublic, personal financial information as described in this policy.

Who We Are

HCA is a broker-dealer providing investment services to issuers and certain clients in a number of US jurisdictions.    We do not carry customer accounts or hold/ process funds or securities.   Clients who invest in private placements through HCA will complete subscription documents and other paperwork containing nonpublic, personal financial information.  This information will be used to approve and process your investments.

Accessing Information

Access to customer information is authorized for HCA’s business purposes only.  It is based on our need to know such information to assist your broker in providing products or services to you, to conduct our business, and to comply with applicable regulations and industry standards of conduct.  HCA requires employees who have access to customer information to protect it and keep it confidential.

Collecting Information to Conduct Business

As authorized by you or your HCA representative, HCA collects information about you to help serve your financial needs, provide customer service, offer new products or services, ascertain customer suitability, and fulfill legal and regulatory requirements.  The type of information you or your representative provides HCA varies according to the products or services you request through your broker, and may include:

  • Information included on your subscription documents and related forms (such as name, address, Social Security number, net worth, and income);[1]
  • Information about your relationship with your broker or the firm (such as products or services purchased); and
  • Information from visitors to the HCA web site (such as that provided through online forms, site visitorship data and online information collecting devices, knows as “cookies”), including information provided to confirm status as an “accredited investor” to gain access to restricted portions of the firm’s web site.

Security Standards

HCA continues to assess new technology to evaluate its ability to provide additional protection of your personal information.  We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your nonpublic personal information.

Sharing Information with Non-Affiliates

In the course of conducting business, we may disclose some or all of the previously-described information about you to non-affiliated third-parties, as allowed by law, for the purpose of:

  • Effecting, administering, or enforcing a transaction that you request or authorize and to otherwise provide customer service or account maintenance;
  • Responding to a subpoena, or to comply with an inquiry by a government agency or regulator, or to otherwise prevent fraud or rule violations; and
  • Performing services for us or on our behalf.

[1] If any of your information changes, please let your representative know, so that your records may be updated.

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