Privacy Policy

To Krilogy Financial (“Krilogy”), protecting your privacy is extremely important. We value your trust and want you to be aware of what information we collect, how we protect that information, and also how we use it.  Following is the policy to which all Krilogy employees adhere for the collection and use of your non-public personal information.

These privacy commitments apply even if you cease to be a client – we will continue to treat your information in accordance with this policy.

Information That May Be Collected

Krilogy may collect personally identifiable information, much of which is provided voluntarily from you on applications, forms and transactions with us and those with outside companies, in order to provide you with products and/or services you have either requested or we deem appropriate.  If you would like to change, correct, or update personally identifiable information you submit to us, please contact us as provided below, and we will make any necessary revisions.

Information We May Collect Include:

• Personal information from applications and forms containing contact information (name, postal address, telephone number, social security number, e-mail address, investment objectives, income assets, employment information, and accounts with others)
• Information regarding you brokerage and/or investment advisory transaction history with us, our service providers, such as clearing firms, mutual fund companies, insurance companies, or other companies that provide you with financial products or services including current and  former registered representatives, broker/dealers and their affiliated businesses
• Information under the USA Patriot Act enacted by the US Treasury Department and Congress to combat terrorism

Website Information Collected: Visitors to Krilogy’s web site remain anonymous as we do not collect identifying information about visitors to our site.  We may use software to collect non-identifying information about our visitors such as date and time the site was accessed, IP address, and web browser used.  This information may be used to determine the level of interest in specific areas of our site.

Information We May Disclose

Krilogy discloses the personal information we collect, as described above, to our staff, affiliates, representatives, their affiliated businesses, insurance companies, brokers, banks, broker/dealers and investment advisers that provide services to you on our behalf.  We will only disclose personal information for the following types of situations:

• To affiliated and non-affiliated third-party service providers that provide clerical, customer assistance, clearing, operational, data storage and analysis, portfolio reporting, management and custodial administration, or other services.
• To affiliated and non-affiliated third-party service providers, including but not limited to tax planners, tax preparation services, retirement services or individual portfolio management services
• Non-affiliated third-party service providers that maintain software for us and/or a financial institution (such as banks, investment advisers, or securities firms) with which we have arrangements and jointly offer financial services and/or products.
• Third party money managers with whom Krilogy has relationships for the management of our customer accounts
• Non-affiliated entities with whom Krilogy has or will enter into a joint marketing agreement
• State, Federal and other regulatory and self-regulatory authorities as required by law or regulation, including law enforcement agencies or insurance and securities regulatory agencies

We will not disclose your personal information to businesses not affiliated with us that would use information to contact you about their products and services except as stated above.  Krilogy will not sell your personal and confidential information to unaffiliated third parties.

Client Opt-Out Options

Clients may opt out of sharing information for joint marketing to other financial companies, to our affiliates and to non-affiliates. If you are a new client, we may begin sharing your information on the day you sign our agreement. When you are no longer our client, we may continue to share your information as described in this notice. However, you can contact us at any time to limit our sharing.

Federal law allows you the right to limit only the sharing of your Nonpublic Personal Information (NPI) related to:

• Sharing for affiliates’ everyday business purposes – information about your creditworthiness,
• Affiliates from using your information to market to you, or
• Sharing with non-affiliates to market to you.

State laws and individual companies may give you additional rights to limit sharing. Please notify us immediately at the address or telephone number below, or at [email protected] if you have any questions or wish to limit sharing.

Securing Your Information

To protect our current and former clients’ personal information from unauthorized access and use, we use security measures that comply with federal law, which include but are not limited to:

• Personal service – Your advisor knows you and the activity that is taking place in your account. This personal service helps protect your financial information.
• Fraud Prevention – Computer safeguards including firewalls, encryption and detection through our IT vendor and secured physical access to the firm’s buildings and files.
• Training – We are continually training our employees on how to safeguard client information.

Krilogy does not share client information with third parties without the consent of the client except under the circumstances described above or under the following circumstances:

• As necessary, to maintain and service the client account or to provide certain requested or authorized third party services requested by the client (e.g., tax preparer/CPA, attorney),
• As required by regulatory authorities or law enforcement officials having jurisdiction over Krilogy, or otherwise required by applicable law, and
• To prevent fraud, unauthorized transactions, false claims, or other potential liability to either you or Krilogy.

Revising This Privacy Policy

Krilogy periodically reviews our Privacy Policy and procedures and we reserve the right to revise this Privacy Policy at any time.  Should we change, update or revise this policy, the “effective date” at the top of this Privacy Policy will also be updated. You are responsible for regularly reviewing the current Privacy Policy.  The most current version of this Policy can be reviewed by clicking on the “Privacy Policy” link located at the bottom of our web pages, or you may contact us as indicated below.

Last Reviewed & Updated Date: March 27, 2026

Unauthorized Access

In the event of any unauthorized access to or use of your sensitive personal information, Krilogy will notify you as required by law.

Instructions on How to Notify Us

Should you have any questions regarding this policy, please contact [email protected], or you may contact us at:

Krilogy
275 N. Lindbergh Blvd., Suite 20
Creve Coeur, MO 63141