Privacy Policy

Aqueduct Capital Group, LLC
Privacy Policy Notice

Aqueduct Capital Group, LLC ("Aqueduct") is committed to protecting the privacy of our clients and former clients. In order to issue and service high quality financial products and services, we collect personal information about our clients. We do not sell this information to third parties and we disclose this personal information only as necessary to provide the products and services our clients expect from a financial services leader. This notice describes our current privacy policy and practices. We will advise our clients of this privacy policy and practices at least once annually, as required by law.

You do not need to take any action as a result of this notice, but you do have certain rights as described below.

Information We May Collect and Use

We collect information about our clients, which we may share now or in the future. We do this to help us identify our client or our former client, to process their transactions and requests quickly, to provide investment services to them or tell them about products or services that may interest them.

Information we may collect includes:

Information from our client - When submitting their documents we may obtain such information as name, address and Social Security number.


Information about our client’s transactions - We may keep information about transactions with our company, for example, the products that were purchased through our introduction, the amount that was invested and capital account balances.

How We Treat Your Information

We may provide information to regulatory authorities and law enforcement officials in accordance with applicable law, or to others when we believe in good faith that the law requires it. In the event of a sale of all or part of one of our businesses, we may share client information related to that business as part of the transaction. Pursuant to Regulation S-AM Aqueduct does not sell or share information with anyone outside our company or with any affiliates who may want to offer their own products and services. Our clients do not need to take any action for this benefit.

Security of Information

Keeping information secure is one of our most important responsibilities. We maintain physical, electronic and procedural safeguards to protect all client information. Employees are authorized to access this information only when they need it to provide you with products and services or to maintain your accounts.

Accurate Information

We want to make sure that we have accurate information about our clients. Generally, upon written request, we will make personal information available for your review. If you believe that any of our records are inaccurate, you may notify us in writing of any corrections, amendments or deletions that you believe should be made. Questions about accessing or correcting personal information should be directed to Aqueduct, 2820 Selwyn Avenue, Suite 550, Charlotte, NC 28209 Attn: Christine Bowling. Please describe the information you wish to see or corrections required.