Privacy Policy

For the purposes of this Privacy Policy, Regiment Securities, LLC may be referred to as “Regiment”, “it”, “Company”.

Regiment Xpress is a private investment marketplace operated by Regiment Securities, LLC, a Delaware limited liability company with its principal office in Illinois. Regiment Securities, LLC is a broker-dealer registered with the U.S. Securities and Exchange Commission, a member of FINRA and SIPC, and is registered under CRD number 311302.

Regiment Securities, LLC is wholly owned by Regiment, LLC, a Delaware limited liability company that acts solely as a passive holding company and conducts no operations. FinTech Ranger LLC, an Illinois limited liability company, holds a partial ownership interest in Regiment, LLC. Regiment, LLC and FinTech Ranger LLC are Regiment's only affiliates. Neither operates this site or the Regiment Xpress marketplace, provides any service in connection with it, or receives information collected through it.

This policy explains how Regiment handles information collected through marketplace.regimentsecurities.com.

If you have applied to invest through this site, the information you provided in connection with that application is also governed by our Regulation S-P Privacy Notice, which describes how Regiment collects, shares, and protects nonpublic personal information.

Information you give us.

• Contact and inquiry information: Name, email address, telephone number, company, and areas of investment interest, when you contact Regiment or express interest in an offering.
• Investor verification information: If you begin Regiment's investor verification process, Regiment collects the information and documents described in that process, including identity, tax, financial, and investment profile information. That information is governed by Regiment's Regulation S-P Privacy Notice.

Information collected automatically. Regiment operates its own first-party analytics. Regiment does not use Google Analytics, advertising pixels, session recording, or any third-party tracking service. Page fonts are served from Regiment's own infrastructure rather than a third-party font provider.

Regiment's analytics and server logs record:

• IP address
• Browser type and device information
• Pages viewed and time of visit
• The page or source that referred you

This information stays on infrastructure Regiment controls. It is not sold, not shared with advertising networks, and not used for cross-site tracking.

Cookies. Regiment uses only cookies necessary for the site to function including maintaining your session, keeping you signed in, and security. Regiment does not use advertising, targeting, or third-party analytics cookies.

Because Regiment uses no advertising or tracking cookies, Regiment does not respond to Do Not Track browser signals, and there is no tracking to opt out of.

• To operate and secure the site
• To respond to inquiries and communicate with you about offerings
• To carry out investor verification, identity verification, and anti-money-laundering obligations
• To meet Regiment's recordkeeping, supervisory, and other regulatory obligations as a broker-dealer
• To understand aggregate site usage and improve the site

Regiment does not sell your personal information. Regiment does not share it with third parties for their own marketing purposes. Regiment has two affiliates, Regiment, LLC and FinTech Ranger LLC, and does not share your personal information with either of them.

Regiment shares information with:

• Service providers that operate the platform on Regiment's behalf include hosting, document storage, electronic signature, email, customer relationship management, and security services. They are contractually required to protect the information and may use it only to perform services for us.
• Issuers, in connection with an investment, in the form of a written confirmation of accredited investor status. This confirmation states Regiment's determination; Regiment does not provide issuers with your underlying documents.
• Regulators, law enforcement, and others where required by law, subpoena, court order, or regulatory examination, or to protect Regiment's rights or the safety of others.

To protect your personal information from unauthorized access and use, Regiment uses security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.

Regiment retains information as long as necessary for the purposes described in this policy and as required by the recordkeeping rules applicable to broker-dealers. Records relating to customers are generally retained for at least six years; certain communications are retained for shorter periods. Website analytics and log data are retained for a shorter period.

• Marketing emails: Unsubscribe using the link in any message, or contact Regiment using the details in Section 12.
• Cookies: Most browsers let you refuse or delete cookies. Refusing necessary cookies may prevent parts of the site from working.
• Correcting your information: Contact Regiment and Regiment will update your information where Regiment is able to do so consistent with Regiment's recordkeeping obligations.

Several states have enacted comprehensive consumer privacy laws. Financial institutions and information subject to the Gramm-Leach-Bliley Act are exempt from these laws in whole or in part, and based on Regiment's size and practices Regiment does not currently meet the applicability thresholds of any of them.

Regiment describes these rights because Regiment's practices may change:

Where a state privacy law applies, residents of that state may have the right to confirm whether Regiment processes their personal data and to access it; to correct inaccuracies; to request deletion; to obtain a portable copy; and to opt out of the sale of personal data, targeted advertising, and certain profiling.

Regiment does not sell personal data, does not engage in targeted advertising, and does not conduct profiling that produces legal or similarly significant effects.

To exercise a right, contact Regiment using the details in Section 12. Regiment will verify your identity before responding. You may designate an authorized agent to act on your behalf. If Regiment declines a request, you may appeal by replying to Regiment's response.

This site is intended for adults. Regiment does not knowingly collect personal information from anyone under 18. If you believe a minor has provided Regiment information, contact Regiment and Regiment will delete it.

This site is directed to residents of the United States, and specifically to those states and jurisdictions in which Regiment Securities, LLC is registered or exempt from registration. It is not directed to individuals in the European Economic Area, the United Kingdom, or other jurisdictions where offering or soliciting these investments would require registration or authorization Regiment does not hold. Information Regiment collects is processed in the United States.

Regiment may update this policy. The effective date at the top will change, and material changes will be posted on this page. Changes to how Regiment handles nonpublic personal information will be communicated as required by Regiment's Regulation S-P Privacy Notice.

Regiment Securities, LLC · Attn: Mike Cavanaugh · 230 W Monroe St., Chicago, Illinois 60606 · RegXquestions@regimentsecurities.com