Institutional-Grade Securities Execution & Capital Markets

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Privacy Policy

Last Updated: January 1, 2026

1. Introduction

J.V.B Financial Group, LLC ("Company," "we," "us," or "our"), a limited liability company organized under the laws of the State of Delaware with its principal office at 3 Columbus Circle, 24th Flr, New York, NY 10019, is committed to protecting the privacy of all individuals who interact with our services. This Privacy Policy describes how we collect, use, disclose, and safeguard personal information in compliance with applicable federal and state laws, including the Gramm-Leach-Bliley Act (15 U.S.C. §§ 6801–6809), the New York State Department of Financial Services Cybersecurity Regulation (23 NYCRR 500), and the New York SHIELD Act (N.Y. Gen. Bus. Law § 899-aa).

2. Information We Collect

In the course of providing broker-dealer and securities services, we may collect the following categories of information:

• Personal Identifiers: Full name, mailing address, email address, telephone number, Social Security Number or Tax Identification Number (for regulatory and account-opening purposes).
• Financial Information: Account numbers, investment history, transaction records, net worth, income data, and credit information as required for suitability determinations and Know Your Customer (KYC) compliance.
• Professional Information: Employer, title, institutional affiliation, and professional credentials.
• Technical Data: IP address, browser type, device identifiers, and website usage analytics collected through cookies and similar technologies when you visit our digital properties.

3. How We Use Your Information

We use personal information to: (a) provide and administer securities brokerage and advisory services; (b) comply with regulatory obligations under the Securities Exchange Act of 1934, FINRA rules, and applicable state securities regulations; (c) conduct anti-money laundering (AML) and counter-terrorism financing (CTF) screening pursuant to the Bank Secrecy Act (31 U.S.C. § 5311 et seq.) and USA PATRIOT Act; (d) communicate with you regarding your account, market updates, and service offerings; (e) maintain internal records and conduct risk management; and (f) respond to lawful requests from regulatory, judicial, and law enforcement authorities.

4. Disclosure of Information

We do not sell personal information to third parties. We may share your information with: (a) regulatory bodies such as the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and the New York State Department of Financial Services; (b) clearing firms, custodians, and counterparties necessary to execute and settle transactions; (c) legal counsel, auditors, and compliance consultants engaged under appropriate confidentiality agreements; (d) law enforcement when required by valid legal process; and (e) affiliated entities for legitimate business purposes as permitted under Regulation S-P (17 CFR Part 248).

5. Data Security

We implement administrative, technical, and physical safeguards consistent with the requirements of 23 NYCRR 500 (DFS Cybersecurity Regulation) and industry best practices to protect personal information against unauthorized access, disclosure, alteration, or destruction. These measures include encryption of data in transit and at rest, multi-factor authentication, regular penetration testing, and employee training on information security protocols.

6. Data Retention

We retain personal information for the period required by applicable law, including SEC Rule 17a-4 (records retention for broker-dealers), which mandates retention of certain records for not less than six years. Upon expiration of the required retention period, records are securely destroyed in accordance with our information governance policy.

7. Your Rights

Depending on your jurisdiction, you may have the right to request access to, correction of, or deletion of your personal information, subject to legal and regulatory retention requirements. Residents of New York may exercise rights under the SHIELD Act. To make a request, please contact us at amit9215448005@gmail.com.

8. Changes to This Policy

We reserve the right to modify this Privacy Policy at any time. Material changes will be communicated through our website or direct notification. Continued use of our services after any modification constitutes acceptance of the updated terms.

9. Contact Information

For questions regarding this Privacy Policy, please contact:
J.V.B Financial Group, LLC
3 Columbus Circle, 24th Flr, New York, NY 10019
Email: amit9215448005@gmail.com

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Terms of Service

Last Updated: January 1, 2026

1. Acceptance of Terms

By accessing the website or engaging the services of J.V.B Financial Group, LLC ("Company"), a limited liability company organized under the laws of the State of Delaware with its principal office at 3 Columbus Circle, 24th Flr, New York, NY 10019, you agree to be bound by these Terms of Service ("Terms"). If you do not agree to these Terms, you must not access or use our services.

2. Nature of Services

The Company operates as a registered broker-dealer. Our services may include, but are not limited to, securities brokerage, trade execution, fixed-income distribution, capital markets advisory, and institutional sales. All services are provided subject to applicable agreements, including customer account agreements, trade confirmations, and any other documentation required by law or regulation.

3. No Investment Advice

Unless expressly stated in a separate written agreement, no content on this website or communication from the Company constitutes a recommendation, solicitation, or offer to buy or sell any security, financial product, or investment strategy. Any information provided is for general informational purposes only and should not be construed as personalized investment advice. Clients should consult their own financial, legal, and tax advisors before making investment decisions.

4. Regulatory Compliance

The Company is subject to regulation by the Securities and Exchange Commission (SEC) under the Securities Exchange Act of 1934 (15 U.S.C. § 78a et seq.) and applicable rules promulgated thereunder. The Company is also subject to oversight by the Financial Industry Regulatory Authority (FINRA) and complies with all applicable FINRA rules, including but not limited to FINRA Rules 2010 (Standards of Commercial Honor), 2111 (Suitability), 3110 (Supervision), and 4512 (Customer Account Information). Additionally, the Company operates in accordance with the New York State Martin Act (N.Y. Gen. Bus. Law Art. 23-A), which grants the New York Attorney General broad authority over securities fraud matters.

5. Suitability and Know Your Customer

In accordance with FINRA Rule 2111 and SEC Regulation Best Interest (Reg BI, 17 CFR § 240.15l-1), the Company is obligated to make reasonable efforts to determine that any recommendation or transaction is suitable or in the best interest of the client based on the client's investment profile, including financial situation, investment objectives, risk tolerance, and other relevant factors. Clients are responsible for providing accurate, complete, and current information to facilitate these determinations.

6. Order Execution and Settlement

The Company endeavors to obtain best execution for all client orders in accordance with SEC and FINRA requirements. Trade confirmations will be provided in accordance with SEC Rule 10b-10 (17 CFR § 240.10b-10). Settlement of securities transactions occurs in accordance with standard industry settlement cycles as prescribed by SEC Rule 15c6-1 (T+1 settlement). The Company assumes no liability for settlement delays caused by external clearing systems, custodians, or third-party counterparties.

7. Risks of Securities Transactions

All securities transactions involve risk, including the possible loss of principal. Past performance is not indicative of future results. Fixed-income securities are subject to interest rate risk, credit risk, and liquidity risk. Market conditions, economic factors, and geopolitical events may materially affect the value of securities. The Company makes no guarantee or representation regarding the performance of any investment.

8. Anti-Money Laundering

The Company maintains an Anti-Money Laundering (AML) compliance program consistent with the requirements of the Bank Secrecy Act (31 U.S.C. § 5311 et seq.), the USA PATRIOT Act (Pub. L. 107-56), and FINRA Rule 3310. This includes customer identification procedures (CIP), ongoing monitoring for suspicious activity, and filing of Suspicious Activity Reports (SARs) and Currency Transaction Reports (CTRs) as required by the Financial Crimes Enforcement Network (FinCEN).

9. Limitation of Liability

To the maximum extent permitted by applicable law, the Company, its managers, members, officers, and employees shall not be liable for any indirect, incidental, special, consequential, or punitive damages arising from or related to your use of our services or reliance on any information provided. The Company's total aggregate liability shall not exceed the fees paid by you to the Company during the twelve (12) months preceding the event giving rise to the claim.

10. Dispute Resolution

Disputes arising from the client relationship may be subject to mandatory arbitration through FINRA Dispute Resolution Services in accordance with FINRA Rule 12200, where applicable. For disputes not subject to FINRA arbitration, these Terms shall be governed by and construed in accordance with the laws of the State of New York, without regard to conflict of law principles. Any legal action shall be brought exclusively in the state or federal courts located in the County of New York, State of New York.

11. Broker-Dealer Disclaimer

J.V.B Financial Group, LLC is a broker-dealer subject to the rules and regulations of the SEC and FINRA. All securities products and services are offered through the Company. Securities products are: Not FDIC Insured; Not Bank Guaranteed; May Lose Value. Registration as a broker-dealer does not imply a certain level of skill or training. Investors should carefully consider the investment objectives, risks, charges, and expenses associated with any securities product before investing. BrokerCheck by FINRA (brokercheck.finra.org) provides information about the background and qualifications of broker-dealers and their registered representatives.

12. Intellectual Property

All content on this website, including text, graphics, logos, and design elements, is the property of J.V.B Financial Group, LLC and is protected by United States copyright and trademark laws. Unauthorized reproduction, distribution, or display of any content is prohibited without prior written consent.

13. Modifications

The Company reserves the right to amend these Terms at any time. Continued use of our services following the posting of revised Terms constitutes acceptance of the changes. We encourage you to review these Terms periodically.

14. Contact

For questions regarding these Terms, please contact:
J.V.B Financial Group, LLC
3 Columbus Circle, 24th Flr, New York, NY 10019
Email: amit9215448005@gmail.com