UNION PIER CAPITAL PRIVACY POLICY

Effective Date: April 17, 2026

1. Introduction

Union Pier Capital (“we,” “our,” or “us”) is a Deep South-based investment banking firm headquartered in Charleston, South Carolina with an additional office in Birmingham, Alabama. We are a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). We are committed to protecting the privacy of individuals who visit our website (unionpiercapital.com) (the “Site”) and those who communicate with us or engage our services. This Privacy Policy describes how we collect, use, disclose, and safeguard your personal information. By accessing or using the Site, you consent to the practices described in this Privacy Policy.

For important regulatory disclosures, including risk disclosures and conflict-of-interest information, please visit our Disclosures page.

2. Information We Collect

2.1 Information You Provide to Us

We may collect personal information that you voluntarily provide when you interact with us, including:

  • Contact Information: Name, email address, phone number, company name, and job title submitted through our contact forms or direct correspondence
  • Business Information: Information about your business, transaction objectives, financial details, or other information you provide in the course of inquiring about or engaging our merger and acquisition advisory services
  • Communications: Records and content of emails, messages, and other communications you send to us

2.2 Information Collected Automatically

When you visit our Site, certain information may be collected automatically through cookies and similar technologies, including:

  • Device and Browser Information: IP address, browser type and version, operating system, device type, and screen resolution
  • Usage Data: Pages visited, time spent on pages, links clicked, referring URLs, and date and time of access
  • Analytics Data: We use Google Analytics to collect aggregated, anonymized data about how visitors interact with our Site. Google Analytics uses cookies to gather this information. You can learn more about how Google uses data at google.com/policies/privacy/partners.

3. How We Use Your Information

We use the information we collect for the following purposes:

  • To respond to your inquiries and communicate with you about our services
  • To evaluate potential engagements and provide merger and acquisition advisory services
  • To operate, maintain, and improve the Site
  • To analyze Site usage and trends to enhance user experience
  • To comply with applicable legal and regulatory obligations, including requirements of FINRA, the SEC, and other regulatory bodies
  • To protect against fraud, unauthorized access, or other security threats

4. How We Share Your Information

We do not sell your personal information. We may share your information in the following limited circumstances:

  • Service Providers: We may share information with trusted third-party vendors who perform services on our behalf, such as website hosting (WP Engine), analytics (Google), and IT support, subject to confidentiality obligations
  • Legal and Regulatory Requirements: We may disclose information when required by law, regulation, legal process, governmental request, or the rules and regulations of FINRA, the SEC, or other self-regulatory organizations
  • Business Transfers: In connection with a merger, acquisition, reorganization, or sale of assets, your information may be transferred as part of that transaction
  • With Your Consent: We may share your information with your explicit consent or at your direction in connection with an engagement

5. Cookies and Tracking Technologies

Our Site uses cookies and similar tracking technologies to enhance your browsing experience and collect analytics data. Cookies are small text files stored on your device by your browser. We use the following types of cookies:

  • Essential Cookies: Required for the Site to function properly
  • Analytics Cookies: Used by Google Analytics to collect anonymous usage statistics

You can control cookies through your browser settings. Disabling cookies may affect your ability to use certain features of the Site.

6. Data Retention

We retain personal information for as long as necessary to fulfill the purposes for which it was collected, comply with our legal and regulatory obligations (including applicable FINRA and SEC record-keeping requirements), resolve disputes, and enforce our agreements. Contact form submissions and related correspondence are retained for the duration of any business relationship and for a reasonable period thereafter consistent with applicable record-keeping requirements.

7. Data Security

We implement reasonable administrative, technical, and physical safeguards to protect your personal information against unauthorized access, alteration, disclosure, or destruction. However, no method of transmission over the Internet or electronic storage is completely secure. While we strive to protect your personal information, we cannot guarantee its absolute security.

8. Your Rights and Choices

Depending on your jurisdiction, you may have certain rights regarding your personal information, including:

  • The right to access the personal information we hold about you
  • The right to request correction of inaccurate personal information
  • The right to request deletion of your personal information
  • The right to opt out of certain data processing activities

To exercise any of these rights, please contact us using the information provided below. We will respond to your request in accordance with applicable law.

9. State-Specific Privacy Rights

If you are a resident of California, you may have additional rights under the California Consumer Privacy Act (CCPA) and the California Privacy Rights Act (CPRA), including the right to know what personal information we collect, the right to request deletion, and the right to opt out of the sale of personal information. As stated above, we do not sell personal information. Residents of other states with applicable privacy legislation may have similar rights under their respective state laws. To submit a request, please contact us using the information provided below.

10. Children’s Privacy

Our Site is not directed to individuals under the age of 18, and we do not knowingly collect personal information from children. If we become aware that we have inadvertently collected personal information from a child under 18, we will take steps to delete that information promptly.

11. Third-Party Links

Our Site may contain links to third-party websites, including social media platforms such as Facebook, LinkedIn, Instagram, and Twitter. This Privacy Policy does not apply to those websites. We encourage you to review the privacy policies of any third-party websites you visit.

12. Changes to This Privacy Policy

We may update this Privacy Policy from time to time to reflect changes in our practices or applicable law. Any changes will be posted on this page with an updated effective date. We encourage you to review this Privacy Policy periodically.

13. Contact Information

If you have any questions, concerns, or requests regarding this Privacy Policy or our data practices, please contact us at:

Union Pier Capital

Headquarters:

997 Morrison Dr. STE 9
Charleston, SC 29403

Alabama Office:

100 Morningside Cir. STE 201
Birmingham, AL 35213

Email: info@unionpiercapital.com