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PRIVACY POLICY - OPT OUT NOTICE Please check each item that you elect to Opt Out of the

sharing of your personal information:

o o o

Do not share information about my credit worthiness with your affiliates for their everyday business purposes. Do not allow your affiliates to use my personal information to market to me. Do not share my personal information with non-affiliates to market their products and services to me.

Your Name: ________________________________________________________ Your Address: ______________________________________________________ Your Account: ______________________________________________________ Your Signature: _____________________________________________________ Note: Your choices will apply to everyone on your account. You may elect to OPT OUT in either of the following ways: 1. Calling us at (212) 207-8786 or use our Toll Free Number 1(800) 226-6477 (Hours: Monday - Friday - 9 a.m. to 5 p.m. EST). Please ask to speak to a Compliance Associate. 2. Send this form via mail or courier to: Asset Alliance Advisors Inc. 800 Third Avenue, 22nd Floor New York, NY 10022 Attn: Opt Out - Compliance Department 3. Send this form via E-Mail Please list Opt Out in the Subject Field and E-mail to: compliance@assetalliance.com 4. Send this form via Fax to: (212) 207-8785 Please note the following: Even if you elect to Opt Out, information will be shared with a service provider necessary to effect or process any transaction in your Account(s), or as otherwise permitted or required by law. If you have previously submitted an Opt Out Notice, it will not be necessary for you to submit another one. Unless we hear from you, we can begin sharing your information 30 days from the date this letter was mailed to you.

This notice is required by law and does not necessarily indicate that Asset Alliance Advisors Inc. is or will share any of your information.