Disclosures

Please read these disclosure statements and print out a copy for your records. If you have any questions or comments, please do not hesitate to contact your personal account manager or our operations department at (800) 838-8951. Hollencrest’s relationship with you is our most important asset, and we will continually strive to provide you with the best service possible.

Disclosure Statements & Notices

+ Anti-Money Laundering Requirements/Customer Identification Program Notice

+ Margin Disclosure Statement

+ Order-Routing Policies

+ Privacy Practices – SEC Regulation S-P

+ Hollencrest Business Continuity Plan Disclosure Statement

+ Mutual Fund Share Class Disclosure

+ Investor Advisor vs Broker Dealer

+ Moving Your Money Safely – Our Procedures for Money Transfers

+ Ring, Ring, It’s the SEC

+ Firm Registration by State

+ Web Site disclosures

Regulations

+ Regulation T

Form ADV

+ ADV Part 2 A and B

Disclaimers

The information on this Web Site (“Site”) is only for residents of the United States (“U.S.”) in which Hollencrest Capital Management, LLC (“Hollencrest”) is registered to conduct business. (Please see State Registration List). This Site is limited to the dissemination of general information on products and services offered by Hollencrest. Additional access can be granted for client account access (See Privacy Policy and Terms of Use). This Site does NOT involve the effecting of securities transactions or rendering of personalized investment advice for compensation. The information on this Site does NOT constitute an offer to sell, or a solicitation of an offer to purchase, any products or services to any persons outside of the U.S. who are prohibited from receiving such information under the laws applicable to their place of citizenship, domicile, or residence.