First Beverage Advisors, LLC Privacy Notice

We recognize our obligation to keep information about you secure and confidential. It’s important for you to know that we do not sell your information to anyone. We restrict access to non-public personal information about you to those representatives and employees who need to know that information to provide products or services to you. We also maintain physical, electronic, and procedural safeguards to guard your non-public personal information. This notice describes how we handle your financial information that we collect while conducting our business.

We collect information about you (such as the name of your company and possibly company formation documents) from our discussions with you, and from documents that you may deliver to us in the course of providing services to you.   In order to service your account and effect your transactions, we may provide your personal information to firms that assist us in servicing your account and have a need for such information, as permitted by law. We may also disclose such information to FINRA, the Securities & Exchange Commission, the state of New York, or the California Department of Business Oversight, the regulatory agencies that oversee our activities.

If you prefer that we not disclose non-public, personal information about you to non-affiliated third parties, (other than those disclosures permitted by law), you may direct us not to make those disclosures. If you wish to opt out of disclosures to non affiliated third parties, you may contact us at (212) 739-7916.

At such time as First Beverage Advisors, LLC and the representative terminate their relationship with one another, information that has been disclosed by one to the other may be retained by both of them if they have so agreed as a part of a transfer of such portion of the business as was previously handled by the representative.

Anti Money Laundering Procedures: To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify and record information that identifies each person who opens an account. What this means for you: We may ask for your name, address, date of birth, and other information that will allow us to identify you. We may also ask to see a current government issued identification including your driver’s license or other identifying documents.

Preparedness/Business Continuity Plan

First Beverage Advisors, LLC has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us – Our main office contact number is (212) 739-7916. If after a significant business disruption you cannot contact us as you usually do you should call our alternative number (480) 331-5253.

Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.