Chardan, LLC

Maintaining your trust and confidence is a high priority. We recognize that protecting the privacy and security of our customers is an important responsibility. That’s why we want you to understand how we protect your privacy when we collect and use information about you, and the steps that we take to safeguard that information. This notice is provided to you on behalf of Chardan, LLC (“Chardan”).

Information We Collect.

In connection with providing you with investment products, financial advice or other services, we obtain nonpublic personal information about you, including:

• Information we receive from you on applications, in person, by telephone, electronically or by any other means, such as your name, address, social security number, assets, debt and income.
• Information about your transactions with us or others, including your financial advisor; and
• Information from credit or service bureaus or other third parties.

Information We Disclose.

We will not disclose information regarding you or your account with us except under the following circumstances:

• To your financial advisor and his or her manager;
• To establish or maintain an account with an unaffiliated third party, such as a clearing broker providing services to you and/or Chardan, or to service your account as authorized;
• To government entities or other third parties in response to subpoenas or other legal process as required by law;
• To our affiliated companies as permitted by law; and
• To companies that perform marketing services on our behalf, or to other financial institutions with whom we have joint marketing agreements, that are restricted from disclosing your personal information except as permitted by law.

Our Security Policy.

Only those individuals who need it to perform their jobs are authorized to have access to confidential client information. We maintain physical, electronic, and procedural security measures that comply with applicable state and federal regulations to safeguard confidential client information. Closed or Inactive Accounts.

If you decide to close your account(s) or become an inactive customer, we will adhere to the privacy polices and practices as described in this notice. Changes to this Privacy Policy.

If we make any substantial changes in the way we use or disseminate confidential information, we will notify you.

If you have any questions concerning this Privacy Policy, please write us at:

Chardan, LLC
17 State Street
Suite 2100
New York, NY 10004
Phone: 646-465-9000
Facsimile: 646-465-9039
E-mail: information@chardancm.com