WEBSITE PRIVACY POLICY

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Bayridge Securities, LLC — Member FINRA / SIPC   |   Last Updated: June 11, 2026

 

This Privacy Policy (the “Policy”) describes how Bayridge Securities, LLC (“Bayridge,” “we,” “us,” or “our”) collects, uses, discloses, and protects information in connection with your use of the website located at www.bayridgesecurities.com and related online services (collectively, the “Site”). Bayridge is a broker-dealer registered with the U.S. Securities and Exchange Commission (“SEC”) and a member of FINRA and SIPC.

This Policy applies to information collected through the Site. The treatment of nonpublic personal information about our brokerage customers is also governed by our privacy notice under SEC Regulation S-P (the “Reg S-P Notice”), which is provided separately to customers. In the event of any conflict regarding customer nonpublic personal information, the Reg S-P Notice controls.

By using the Site, you acknowledge that you have read and understood this Policy. If you do not agree, please do not use the Site.
 

1. Information We Collect

a. Information You Provide to Us

We collect information you provide directly, such as when you complete a form, open or apply for an account, subscribe to communications, request information, or otherwise contact us. This may include:

• Identifying information such as your name, mailing address, email address, and telephone number;

• Financial and account information you provide in connection with brokerage services, such as account numbers, transaction history, assets, income, investment objectives, and risk tolerance;

• Government identifiers required to verify your identity and meet regulatory obligations, such as a Social Security number or taxpayer identification number, date of birth, and government-issued identification;

• Employment, suitability, and “know your customer” (KYC) information required under applicable anti-money-laundering (AML) and FINRA rules; and

• Any other information you choose to provide through the Site.

b. Information Collected Automatically

When you access the Site, we and our service providers may automatically collect certain information through cookies and similar technologies, including:

• Device and connection information such as IP address, browser type, operating system, and device identifiers;

• Usage information such as the pages you view, links you click, the dates and times of your visits, and the referring website; and

• Information collected through cookies, web beacons, and similar technologies (see Section 5 below).

c. Information from Other Sources

We may receive information about you from third parties to the extent permitted by law, including identity verification services, consumer reporting agencies, credit bureaus, regulators and self-regulatory organizations, clearing firms, financial institutions, and publicly available sources, in order to verify your identity, assess suitability, prevent fraud, and comply with our legal and regulatory obligations.
 

2. How We Use Information

We use the information we collect for purposes including:

• Providing, operating, and maintaining the Site and our brokerage services;

• Opening, servicing, and administering accounts and processing transactions;

• Verifying your identity and conducting AML, KYC, sanctions, and fraud-prevention screening;

• Communicating with you, including responding to inquiries and sending service-related or, where permitted, marketing communications;

• Personalizing and improving the Site and developing new products and services;

• Maintaining the security and integrity of the Site and our systems; and

• Complying with applicable laws, regulations, FINRA and SEC rules, recordkeeping obligations, and lawful requests from regulators and law enforcement.
   

3. How We Disclose Information

We do not sell your personal information. We may disclose information as follows:

• Service providers. To third parties that perform services on our behalf, such as technology providers, clearing and custody firms, identity-verification vendors, and professional advisors, subject to confidentiality obligations;

• Regulatory and legal. To regulators, self-regulatory organizations (including FINRA and the SEC), law enforcement, or other governmental authorities as required or permitted by law, subpoena, court order, or regulatory request;

• Clearing and execution. To clearing firms, custodians, exchanges, and counterparties as necessary to execute, clear, settle, and report transactions;

• Corporate transactions. In connection with a merger, acquisition, financing, reorganization, or sale of assets, subject to appropriate confidentiality protections; and

• With your consent. To other parties when you direct us or otherwise consent to the disclosure.

Disclosure of nonpublic personal information about customers is further governed by SEC Reg S-P and applicable law.
 

4. Information Sharing Under Regulation S-P

As a registered broker-dealer, Bayridge is subject to SEC Regulation S-P, which limits the circumstances under which we may share nonpublic personal information about customers with nonaffiliated third parties and requires us to provide customers with a privacy notice describing our information-sharing practices and any right to opt out. Please refer to our Reg S-P Notice for details specific to your customer relationship. To the extent any opt-out rights apply, the Reg S-P Notice you receive as a customer or client describes how to exercise them.
 

5. Cookies and Tracking Technologies

We and our service providers use cookies, web beacons, pixels, and similar technologies to operate and secure the Site, remember your preferences, analyze traffic, and understand how the Site is used. You can usually adjust your browser settings to refuse or delete cookies, although some features of the Site may not function properly without them. Where required by law, we will obtain your consent before placing non-essential cookies. We may, from time to time, utilize analytics or advertising technologies such as those provided by Google Analytics.  You may opt-out of these technologies by adjusting your website settings.
 

6. Do Not Track

Some browsers offer a “Do Not Track” (“DNT”) signal. Because there is no consistent industry standard for responding to DNT signals, the Site does not currently respond to them, but may if consistent industry standards become available that allow us to.
 

7. Data Security

We maintain administrative, technical, and physical safeguards designed to protect the information we collect against unauthorized access, use, alteration, and destruction, consistent with our obligations under Regulation S-P, the SEC’s identity-theft red-flags rules, and applicable law. However, no method of transmission over the internet or method of electronic storage is completely secure, and we cannot guarantee absolute security. You are responsible for safeguarding your account credentials and for notifying us promptly at bayridge@bayridgesecurities.com of any suspected unauthorized access.
 

8. Data Retention

We retain information for as long as necessary to provide our services, to satisfy our recordkeeping and other obligations under the federal securities laws, FINRA rules (including applicable books-and-records and supervision requirements), and other applicable laws, and to resolve disputes and enforce our agreements. Retention periods for brokerage records are generally governed by SEC Rule 17a-4 and related FINRA recordkeeping rules.
 

9. Your Privacy Rights

Depending on where you reside, you may have certain rights regarding your personal information, such as the right to request access to, correction of, or deletion of your information, and the right to opt out of certain processing. These rights are subject to important exceptions, including our obligation to retain information to comply with securities laws and recordkeeping requirements.
 

California Residents

If you are a California resident, the California Consumer Privacy Act, as amended by the California Privacy Rights Act (“CCPA/CPRA”), may provide you with additional rights regarding your personal information, subject to exemptions — including the exemption for personal information collected, processed, or disclosed pursuant to the federal Gramm-Leach-Bliley Act and its implementing regulations (such as Regulation S-P). To the extent any of your information is not exempt, you may have the right to know, delete, correct, and opt out of the “sale” or “sharing” of personal information, and the right not to be discriminated against for exercising these rights. To submit a request, contact us using the information in Section 13.
 

10. Children’s Privacy

The Site is not directed to children under the age of 18, and we do not knowingly collect personal information from children. If you believe a child has provided us with personal information, please contact us so that we can take appropriate action.
 

11. Third-Party Websites

The Site may contain links to third-party websites and services that are not operated by us. This Policy does not apply to those third-party sites, and we are not responsible for their privacy practices. We encourage you to review the privacy policies of any third-party sites you visit.
 

12. Changes to This Policy

We may update this Policy from time to time. When we do, we will revise the “Last Updated” date above and post the revised Policy on the Site. Changes are effective upon posting unless otherwise stated. Your continued use of the Site after any change indicates your acceptance of the updated Policy. This Policy does not modify the separate notices we provide under Regulation S-P.
 

13. Contact Us

If you have questions or requests regarding this Policy or our privacy practices, please contact us at:

Bayridge Securities, LLC

Attn: Compliance Department

535 Mission St., Suite 118, San Francisco, CA 94105

Email: bayridge@bayridgesecurities.com   |   Telephone: (415) 295-4785

CRD No.: 155765

 

Bayridge Securities, LLC is a member of FINRA and SIPC. For more information, see FINRA’s BrokerCheck at brokercheck.finra.org.