Privacy Notice

This Privacy Notice describes how Crescendo Markets LLC (“Crescendo,” “we,” “us,” or “our”) collects, uses, protects, and shares the personal information of our current and former clients. We are committed to safeguarding the confidentiality and security of your personal information and to handling it in accordance with the federal Gramm-Leach-Bliley Act, SEC Regulation S-P, and other applicable privacy laws.

This notice applies to individual clients and to the individuals associated with our institutional and entity clients.

Our Commitment to Your Privacy

Protecting your personal information is fundamental to the trust you place in us. We have adopted the following core commitments:

Information We Collect

In the course of providing brokerage services, we collect personal information from the following sources:

Information you provide to us directly, including on account applications, subscription agreements, suitability questionnaires, and other forms or documents. This may include:

• Name, address, telephone number, email address, and date of birth
• Social Security number or taxpayer identification number
• Government-issued identification (driver’s license, passport)
• Employment and occupational information
• Financial information, including income, net worth, liquid net worth, and investment experience
• Investment objectives, risk tolerance, and time horizon
• Bank account and wire transfer information
• Accredited investor, qualified purchaser, or qualified institutional buyer verification documentation

Information about your transactions with us, our affiliates, or others, including account balances, transaction history, holdings, and payment records.

Information from third parties, including identity verification services, credit reporting agencies (where applicable), regulatory databases, and third parties you authorize us to contact.

Information collected automatically when you use our website or client portal, including IP address, browser type, device information, pages viewed, and timestamps. This information is used for security, fraud prevention, and service improvement.

How We Use Your Information

We use your personal information only for legitimate business purposes, including:

• Establishing and maintaining your account
• Verifying your identity and eligibility under federal securities laws
• Executing and settling transactions you authorize
• Communicating with you about your account, transactions, and the offerings we present
• Complying with our legal, regulatory, and supervisory obligations, including those imposed by the SEC, FINRA, the Bank Secrecy Act, and the USA PATRIOT Act
• Detecting and preventing fraud, money laundering, and other unlawful activity
• Maintaining the security of our systems, records, and personnel

We do not use your personal information for purposes unrelated to the services we provide.

How We Share Your Information

We do not share your personal information with non-affiliated third parties for marketing purposes. We share information only as described below.

Sharing necessary to provide services

We may share your personal information with service providers who perform functions on our behalf in connection with the services we provide to you. These include:

• Clearing firms, custodians, and transfer agents
• Identity verification, KYC, and anti-money-laundering vendors
• Technology, cloud infrastructure, and cybersecurity providers
• Banking, payment processing, and wire transfer services
• Independent auditors, accountants, and legal counsel
• Regulatory technology and compliance reporting platforms

We require service providers to maintain the confidentiality of your information and to use it only for the purposes for which it was provided. We do not authorize service providers to use your information for their own marketing purposes.

Sharing required or permitted by law

We may share your personal information when required or permitted by law, including:

• In response to subpoenas, court orders, or other legal process
• To regulators with jurisdiction over our firm, including the SEC, FINRA, state securities regulators, and self-regulatory organizations
• To law enforcement, in response to lawful requests or to report suspicious activity as required by the Bank Secrecy Act and related regulations
• To protect the rights, property, or safety of Crescendo, our clients, or others
• In connection with a corporate transaction, such as a merger, acquisition, or sale of our business, subject to confidentiality protections

Sharing with your consent

We will share your information with other parties when you direct us to do so, such as when you request that we transfer your account information to another firm, your accountant, your attorney, or another adviser of your choosing.

How We Protect Your Information

We maintain administrative, technical, and physical safeguards designed to protect the confidentiality, integrity, and availability of your personal information. These safeguards include:

• Access controls. Access to client information is limited to employees and authorized service providers who need it to perform their job functions. Personnel are subject to confidentiality obligations and undergo regular training on privacy and information security.
• Encryption. Sensitive information is encrypted in transit and, where practicable, at rest using industry-standard cryptographic protocols.
• Network security. Our systems are protected by firewalls, intrusion detection, multi-factor authentication, and other security technologies. We monitor for unauthorized activity and conduct regular security assessments.
• Physical security. Our offices and information storage facilities employ physical access controls and surveillance.
• Vendor oversight. We perform due diligence on service providers and require contractual commitments regarding the protection of client information.
• Incident response. We maintain an incident response program to identify, contain, and remediate any suspected unauthorized access to client information, and to provide notice to affected clients and regulators where required by law.

No system can be guaranteed to be completely secure. If you believe your account or personal information has been compromised, contact us immediately at the number listed at the end of this notice.

Information Retention

We retain your personal information for as long as you maintain an account with us and for the period thereafter required by federal securities laws, FINRA rules, and other applicable recordkeeping obligations — generally a minimum of six years following the closure of your account, and longer where required for specific records. After the applicable retention period, we securely dispose of personal information in a manner designed to prevent unauthorized access.

Your Rights

Access and correction. You have the right to review the personal information we maintain about you in connection with your account and to request that we correct any inaccuracies. To do so, contact us using the information at the end of this notice.

Marketing communications. Although we do not share your information with non-affiliated third parties for marketing purposes, we may from time to time send you communications about our services or about offerings we believe may be of interest to you. You may opt out of these communications at any time by following the unsubscribe instructions in the communication or by contacting us directly.

State-specific rights. Residents of certain states may have additional rights under state privacy laws, including the right to request information about the categories of personal information we have collected and the right to request deletion of certain personal information, subject to exceptions for information we are required to retain under federal securities laws. To exercise these rights, contact us at the address below.

Inquiries and complaints. If you have questions about this Privacy Notice or concerns about how your information has been handled, please contact our Compliance Department at the address below. We take privacy concerns seriously and will respond promptly.

Information About Former Clients

If you cease to be a client of Crescendo Markets LLC, we will continue to handle your personal information in accordance with this Privacy Notice for as long as we are required to retain it under applicable law.

Changes to This Privacy Notice

We may update this Privacy Notice from time to time to reflect changes in our practices, technology, legal requirements, or other factors. The most current version is always available at crescendomarketsllc.com/privacy-notice. We will provide you with a copy of our current Privacy Notice annually as required by SEC Regulation S-P, and we will notify you of any material changes in advance of their effective date.

The “Dated” line at the top of this notice indicates the version date. Material updates will be communicated to clients in writing.

Contact Us

For questions about this Privacy Notice, to exercise any of your rights described above, or to report a suspected privacy or security incident, please contact us:

This Privacy Notice is dated April 27, 2026. The most current version is available at crescendomarketsllc.com/privacy-notice.