Privacy Notice

MAINLINE WEST MUNICIPAL SECURITIES, LLC

Phone: (720) 536-3380
Website: www.mainlinewest.net

Broker-dealers are required by federal law to adopt written policies and procedures that address administrative, technical, and physical safeguards for the protection of client records and the proper disposal of such information. Furthermore, broker-dealers are required to inform their clients of these specific policies regarding privacy of information. Mainline West Municipal Securities, LLC (“Mainline West Municipal Securities” the “Company” or “Firm”) appreciates the trust our clients place in us, and we recognize the importance of protecting the confidentiality of non-public personal information that we collect from them through our business relationships. The information is used to ensure accuracy in reporting and record keeping, to perform our regular course of business, and to comply with the law and our regulators. 

Keeping this information secure is a top priority for us, and we are pleased to share with you our Privacy Policy:

  1. We collect non-public personal information about our clients from the following sources:
    1. Applications (e.g., due diligence questionnaires, investor forms, account applications)
    2. Investment Management Agreement with Sponsor
    3. Broker Dealer Agreement 
    4. Custodian Agreement 
    5. Other forms, correspondence, and communications
  1. The information we collect can include:
    1. Name, address, social security number, and date of birth
    2. Assets, income, accredited investor status, and investment objectives
    3. Transactions and investments with us (account values, transactions, etc.)
    4. Other information useful to our services
  1. We maintain administrative, physical and electronic safeguards to protect non-public personal information.
  1. We may disclose non-public personal information about our clients and former clients to employees, independent contractors, or other third parties with whom we have contracted to perform services on our behalf, such as brokerage, legal, accounting, compliance, and data processing services, as well as in order to comply with legal and regulatory requests made to us, and to assist with law enforcement, investigations, complaints, regulatory requests, litigation, arbitration, mediation, and other legal processes.
  1. Note that our Privacy Policy includes no right to disseminate non-public personal information about our clients and former clients to any external or third party for marketing or other purposes not directly related to servicing your investor account.
  1. We may disclose non-public personal information about our clients and former clients as required by federal, state, or local law. We will provide notice of changes in our information sharing practices. If, at any time in the future, it is necessary to disclose any of your personal information in a way that is inconsistent with this policy, we will give you advance notice of the proposed change so you will have the opportunity to opt-out of such disclosure. 

Other Important Information:

  1. For California residents:  We will not share information we collect about you with nonaffiliated third parties, except as permitted by law. We will not share information about your creditworthiness with our affiliates, as applicable, other than as permitted by California law, unless you authorize us to make those disclosures.
  1. For Nevada clients: Section 340 of the Nevada Privacy Law requires that an operator post a privacy policy, which is called a “notice” in Nevada. We are providing you this notice pursuant to state law. We will not share information we collect about you with nonaffiliated third parties, except as permitted by law. We will not share information about your creditworthiness with our affiliates, as applicable, other than as permitted by Nevada law, unless you authorize us to make those disclosures.
  1. For Vermont residents:  We will not share information we collect about you with nonaffiliated third parties, except as permitted by law, including, for example with your consent or to service your account.  We will not share information about your creditworthiness with our affiliates, other than as permitted by Vermont law, unless you authorize us to make those disclosures.

Mainline West Municipal Securities is registered with the Securities and Exchange Commission (“SEC”) as a broker-dealer and is a member of the Financial Industry Regulatory Authority (“FINRA”) and the Securities Investor Protection Corporation (“SIPC”). The Firm has a limited and restricted business model and conducts three types of business as a broker dealer, including acting as a municipal securities dealer, trading securities for its own account and acting as a placement agent to raise capital for private pooled investment funds managed by an affiliate, Mainline West Fund Manager LLC (“Mainline West Fund Manager”), which also serves as manager to the funds or pooled investment vehicles (collectively, the “Funds”). The funds will invest in various investment interests. These interests are unregistered and offered on a best-efforts basis under Regulation D. The offering of interests is made by the delivery of a Private Placement Memoranda (PPM) or other similar governing agreements/subscription documents. Offerings will only be made to investors who meet the definition of accredited investor. 

The Firm is committed to safeguarding the confidential information of our clients. The Company is keenly aware that cybersecurity and privacy breaches may occur as a result of security failures at third parties that have access to the Company’s systems. To minimize risk of such event, the Company has adopted the policies and procedures. A designated Principal of Mainline West Municipal Securities shall ensure that any breach, misappropriation or loss of such information is immediately reported to the individual(s) whose information was compromised and any applicable state or federal regulatory or law enforcement agencies. In addition, we intend to notify clients of any material breaches that might put your personal financial data at risk. If, at any time in the future, it is necessary to disclose any of your personal information in a way that is inconsistent with this policy, we will give you advance notice of the proposed change so you will have the opportunity to opt out of such disclosure. We will provide notice of changes in our information sharing practices.

We want to hear from you if you have questions. 

Mr. Anthony Caselli
Chief Compliance Officer
(720) 536-3380

The Funds will invest in various investment interests. These interests or units are unregistered and offered only to persons who are both “Accredited Investors” as defined in Rule 501 of Regulation D under the Securities Act of 1933 and “Qualified Purchasers” as defined in Section 2(a)(51) of the Investment Company Act of 1940 and the rules issued thereunder. The offering of interests is made by the delivery of a Private Placement Memoranda (PPM) or other similar governing agreements documents. Offerings will only be made to investors who meet the definition of “Accredited Investors” and “Qualified Purchasers”. The minimum amount required to be invested varies for each Fund and is detailed in each PPM.