Privacy

Rev. June 2015
FACTS WHAT DOES NORTHERN LIGHTS COMPLIANCE SERVICES, LLC ("NLCS") DO WITH YOUR PERSONAL INFORMATION?
Why? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.
What? The types of personal information we collect and share depend on the product or service you have with us. This information can include:
  • Social Security Number
  • Employment information
  • Account balances
  • Account transactions
  • Income
  • Investment experience
When you are no longer our customer, we continue to share your information as described in this notice.
How? All financial companies need to share a customer’s personal information to run their everyday business - to process transactions, maintain customer accounts, and report to credit bureaus. In the section below, we list the reasons financial companies can share their customer's personal information; the reasons NLCS chooses to share; and whether you can limit this sharing.
Reasons we can share your personal information Does NLCS share? Can you limit this sharing?
For our everyday business purposes -- such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No
For our marketing purposes -- to offer our products and services to you Yes No
For joint marketing with other financial companies Yes No
For our affiliates’ everyday business purposes -- information about your transactions and experiences Yes No
For our affiliates’ everyday business purposes -- information about your creditworthiness No We don't share
For nonaffiliates to market to you No We don't share
Questions? Call (631) 470-2600 or go to www.ncompliance.com.
Who we are
Who is providing this notice? Northern Lights Compliance Services, LLC
What we do
How does NLCS protect my personal information? To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.
How does NLCS collect my personal information? We collect your personal information, for example, when you
  • open an account
  • give us your income information
  • provide employment information
  • provide account information
  • give us your contact information
We also collect your personal information from others, such as credit bureaus, affiliates, or other companies.
Why can’t I limit all sharing? Federal law gives you the right to limit only
  • sharing for affiliates’ everyday business purposes—information about your creditworthiness
  • affiliates from using your information to market to you
  • sharing for nonaffiliates to market to you
State laws and individual companies may give you additional rights to limit sharing.
Definitions
Affiliates Companies related by common ownership or control. They can be financial and nonfinancial companies.

Affiliates of NLCS include:
  • CLS Investments, LLC
  • NorthStar Financial Services Group, LLC
  • Gemini Fund Services, LLC
  • Gemini Alternative Services, LLC
  • Blu Giant, LLC
  • Gemini Hedge Fund Services, LLC
  • Northern Lights Distributors, LLC
  • Orion Advisor Services, LLC
  • Constellation Trust Company
  • NorthStar Topco, LLC
  • NorthStar CTC Holdings, LLC
Nonaffiliates Companies not related by common ownership or control. They can be financial and nonfinancial companies.
  • NLCS does not share with nonaffiliates so they can market to you.
Joint marketing A formal agreement between nonaffiliated financial companies that together market financial products and services to you.
  • Our joint marketing partners include other financial service companies.

Expanded Services

See How Gemini, Northern Lights Distributors, & Gemcom Work Together For You