Effective Date: 04/30/2026

Carey Brothers & Company, LLC (“CBC,” “we,” “our,” or “us”) is committed to maintaining the confidentiality, integrity, and security of personal information. This Privacy Policy outlines how we collect, use, disclose, and safeguard information obtained through our website (the “Site”) and in connection with our advisory and consulting services.

1. Scope and Regulatory Context

This Privacy Policy applies to information collected through our Site and business activities. CBC is a professional services firm providing strategic advisory and consulting services. To the extent CBC engages in activities that may be subject to applicable U.S. securities laws and regulations, including those administered by the U.S. Securities and Exchange Commission (“SEC”) or the Financial Industry Regulatory Authority (“FINRA”), additional privacy and disclosure obligations may apply.

Where required, CBC will provide separate privacy notices or disclosures in accordance with:

  • The Gramm-Leach-Bliley Act (“GLBA”)

  • Regulation S-P (Privacy of Consumer Financial Information)

  • Other applicable federal and state laws

2. Information We Collect

A. Information You Provide

We may collect personal and professional information you voluntarily provide, including:

  • Name, title, employer, and contact details

  • Email address and phone number

  • Business and financial information relevant to advisory services

  • Information submitted through forms, subscriptions, or correspondence

B. Automatically Collected Information

We may collect certain technical data automatically:

  • IP address and general geographic location

  • Device, browser, and operating system information

  • Site usage data, page interactions, and referring URLs

  • Cookie and analytics data

C. Non-Public Personal Information

In the course of providing advisory or consulting services, CBC may receive non-public personal information (“NPI”) subject to applicable financial privacy laws. Such information is handled in accordance with regulatory obligations and client agreements.

3. How We Use Information

CBC uses collected information for legitimate business and regulatory purposes, including:

  • Providing advisory, consulting, and client services

  • Communicating with clients, investors, and prospective clients

  • Performing due diligence and evaluating business opportunities

  • Complying with legal, regulatory, and compliance requirements

  • Detecting and preventing fraud, unauthorized activity, or misuse

  • Improving our Site, services, and client experience

  • Delivering insights, updates, and marketing communications (where permitted)

4. Information Sharing and Disclosure

CBC does not sell personal information. We may share information in the following circumstances:

  • With service providers and vendors supporting our operations (subject to confidentiality obligations)

  • With affiliates, advisors, or partners involved in delivering services

  • To comply with legal, regulatory, or supervisory requests, including from the SEC, FINRA, or other authorities

  • In connection with litigation, investigations, or enforcement actions

  • As part of a business transaction, such as a merger, acquisition, or restructuring

  • To protect the rights, property, or safety of CBC, our clients, or others

5. Regulatory Disclosures

A. No Offer or Solicitation

Information provided on this Site is for informational purposes only and does not constitute:

  • An offer to sell or a solicitation of an offer to buy any security

  • Investment, legal, tax, or accounting advice

Any such offer or solicitation will be made only through appropriate offering materials and in compliance with applicable laws.

B. Advisory and Brokerage Distinction

CBC provides strategic advisory and consulting services. To the extent any affiliate or partner is engaged in securities-related activities:

  • Such activities may be conducted through appropriately registered entities or individuals

  • Additional disclosures, including Form ADV (if applicable), will be provided as required

C. Forward-Looking Statements

Certain content on the Site may include forward-looking statements. These statements:

  • Are based on current expectations and assumptions

  • Are subject to risks, uncertainties, and market conditions

  • Should not be relied upon as guarantees of future performance

D. No Client Relationship

Use of this Site does not create:

  • A client, advisory, fiduciary, or brokerage relationship

  • Any obligation on the part of CBC unless formalized through a written agreement

E. Confidentiality of Communications

Communications sent via the Site or email may not be secure. Users should avoid transmitting confidential or sensitive information unless appropriate safeguards are in place.

6. Cookies and Tracking Technologies

CBC uses cookies and similar technologies to:

  • Enhance functionality and performance

  • Analyze usage patterns

  • Support business development efforts

Users may manage cookie preferences through browser settings.

7. Data Retention

CBC retains personal information in accordance with:

  • Business needs and operational requirements

  • Legal and regulatory recordkeeping obligations (including SEC and FINRA requirements, where applicable)

8. Data Security

We employ commercially reasonable safeguards, including:

  • Administrative controls and policies

  • Technical protections such as encryption and secure systems

  • Access controls and monitoring

No system is entirely secure; users provide information at their own risk.

9. Your Privacy Rights

U.S. Residents (Including California)

You may have the right to:

  • Access, correct, or delete personal information

  • Request disclosure of information collected and how it is used

  • Opt out of certain data sharing practices (where applicable)

International Users (GDPR, where applicable)

You may have rights to:

  • Access, rectify, or erase personal data

  • Restrict or object to processing

  • Data portability

  • Withdraw consent

10. Third-Party Links

This Site may include links to third-party websites. CBC is not responsible for their privacy practices or content.

11. Children’s Privacy

The Site is not directed to individuals under 16. CBC does not knowingly collect personal information from children.

12. Cross-Border Transfers

Information may be processed in the United States or other jurisdictions. We take reasonable steps to ensure appropriate data protections.

13. Updates to This Policy

CBC may update this Privacy Policy periodically. Updates will be reflected by the revised Effective Date.

Privacy Policy