ADDITIONAL REGULATORY DISCLOSURES

INVESTMENT BANKING SERVICES

Securities and Investment Banking products and services are offered through TripleTree, LLC, a non-bank subsidiary of Capital One, N.A. a wholly-owned subsidiary of Capital One Financial Corporation, and a member of FINRA and SIPC.

The products and services offered or recommended are:

Not FDIC Insured Not Bank Guaranteed May Lose Value
Not a Deposit Not Insured By Any Federal Government Agency


*Banking products and services are offered by Capital One, N.A., Member FDIC.

IMPORTANT INFORMATION ABOUT PROCEDURES FOR OPENING A NEW ACCOUNT - To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. What this means for you: When you open an account, we will ask for your name, address, date of birth, and other information that will allow us to identify you. We may also ask to see your driver’s license or other identifying documents.

The information included in this website is for general guidance on matters relating to securities and the investment industry. It is intended for INSTITUTIONAL USE ONLY

For additional information about TripleTree, LLC and its registered representatives, please refer to brokercheck.finra.org.

Nothing set forth in this website should be construed as a recommendation to purchase or sell any product or instrument or to enter into any transaction, or as a representation that any particular product or instrument is suitable or appropriate for you.

You should not make this website the primary basis for any investment decisions, nor should you construe any of the material contained in this website as business, trading, financial, investment, hedging, trading, legal, regulatory, tax or accounting advice. In providing this website and entering into any transactions in the products described in this website, TripleTree, LLC is acting solely in the capacity of a broker and not as a financial advisor or a fiduciary. Under no circumstances should TripleTree, LLC be considered your advisor or fiduciary and, if you require advice with respect to the products identified in this website or any contemplated transactions, you should consult your own business, financial, accounting or legal advisors.

BEFORE USING THIS WEBSITE PLEASE READ OUR LEGAL AND PRIVACY STATEMENT

By accessing or using this website, you are expressly acknowledging and agreeing to the terms and conditions set forth in this TripleTree, LLC Legal and Privacy Statement. You may not use this website if, at any time, you do not accept the terms and conditions as set forth in this Legal and Privacy Statement. You should review the Legal and Privacy Statement whenever accessing or using this website, as TripleTree, LLC reserves the right to modify this Legal and Privacy Statement at any time. By accessing or using this website after the posting of modifications to the terms and conditions set forth in this Legal and Privacy Statement, you signify your acceptance of such terms and conditions, as modified.

All information and material (including, but not limited to, images, text and audio) on this website is the property of TripleTree, LLC and is subject to copyright. All other trademarks, if any, on this website are the property of their respective owners. You are entitled to view, copy and print any documents from this website for your own internal business purposes only. Absolutely no rights or licenses in or to the website or the materials contained within the website other than the limited right to use the website in accordance with this Legal and Privacy Statement are available. Any copying, modification or other use of this website or its content for any use other than your own internal business purposes (and expressly any sale, transmission or redistribution of this website or its content) are strictly prohibited. All rights, both present and future, in and to trade secrets, trademarks, service marks, copyrights and other proprietary rights under the laws of any domestic or foreign governmental authority (the “Intellectual Property Rights”) relating to TripleTree, LLC on this website shall at all times be and remain the sole and exclusive property of TripleTree, LLC as between you and TripleTree, LLC. You shall not use the Intellectual Property Rights or the website, or any derivations thereof, for any purpose, without the prior written approval of TripleTree, LLC, except as specifically permitted by the terms of this Legal and Privacy Statement. You agree to protect the proprietary rights of TripleTree, LLC and all others having rights in the website and to comply with all reasonable written or electronic requests made by TripleTree, LLC or its suppliers of content or otherwise (“Suppliers”) to protect their and others’ contractual, statutory and common law rights in the website. You agree to provide TripleTree, LLC with prompt written notice of any unauthorized access or use of the website by any party or of any claim that the website infringes upon any copyright, trademark or other contractual, statutory or common law rights.

This website is provided solely for information purposes and is not intended to, and shall not, constitute any offer or acceptance with the respect to any transactions or other matters, with the exception of this Legal and Privacy Statement or as otherwise indicated. Except for this Legal and Privacy Statement, this website shall not create any legal relationship between you and TripleTree, LLC.

This website and the information and material which it contains are subject to change at any time by TripleTree, LLC without notice, and TripleTree, LLC reserves the right to suspend, terminate or restrict your access to or use of this website. This website is provided “AS IS” without any warranty of any kind, express or implied, including, but not limited to, any implied warranty of merchantability, fitness for a particular purpose, accuracy or completeness of the information contained on this website or in respect of any materials or products referred to on this website, or non-infringement. Difficulties in use of this website could involve, among others, failures, delays, malfunction, software erosion, inadvertent disclosure of information provided to TripleTree, LLC via this website, or hardware damage, which difficulties could be the result of hardware, software or communication link inadequacies or other causes. Such difficulties could lead to possible economic and/or data loss. TripleTree, LLC does not warrant that the website is compatible with your equipment or that the website is free of errors, viruses or worms. In no event shall TripleTree, LLC be liable for any damage you may suffer as a result of such destructive features. All warranties, whether express or implied, are hereby excluded to the extent permitted by law.

To the extent permitted by law, TripleTree, LLC and its affiliates, officers, directors, and employees shall have no liability, contingent or otherwise, whether caused by the negligence of TripleTree, LLC, its affiliates, employees, subcontractors, agents, suppliers, or otherwise, to you or to third parties for the accuracy, timeliness, completeness, reliability, performance or continued availability of this website or for delays or omissions therein, including, but not limited to, inaccuracies or errors in or omissions from quotes and financial data. TripleTree, LLC shall have no responsibility to maintain the information or services made available on this website or to supply any corrections or updates in connection with such information or services. IN NO EVENT WILL TRIPLETREE, LLC, ITS AFFILIATES, ITS SUPPLIERS, OR ITS THIRD PARTY AGENTS BE LIABLE TO YOU FOR ANY DIRECT, SPECIAL, INDIRECT, INCIDENTAL, PUNITIVE OR CONSEQUENTIAL DAMAGES (INCLUDING, WITHOUT LIMITATION, LOSS OF BUSINESS, LOSS OF PROFIT, LOSS OR CORRUPTION OF DATA, LOSS OF GOODWILL OR REPUTATION OR WASTED MANAGEMENT TIME) WHICH MAY BE INCURRED OR EXPERIENCED ON ACCOUNT OF YOUR USING OR RELYING ON THIS WEBSITE OR ANY INFORMATION OR LINKS ON IT, EVEN IF TRIPLETREE, LLC HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES. Any limitations or restrictions on liability in this Legal and Privacy Statement shall only apply to the extent permitted by applicable law. In no event shall TripleTree LLC’s total liability to you for all damages, losses and causes of action (whether in contract or tort, including but not limited to, negligence) exceed the amount paid by you to TripleTree, LLC if any, for accessing this website.

This website may provide links to certain websites sponsored and maintained by TripleTree, LLC as well as those sponsored or maintained by third parties. Such third party websites are publicly available and TripleTree is providing access to such websites through this website solely as a convenience to you. The content of such third party websites, services, goods or advertisements that may be linked to this website is not maintained or controlled by TripleTree, LLC and TripleTree, LLC makes no representations or warranties concerning the content of such websites and the fact that access to such websites is provided does not constitute any endorsement, authorization or sponsorship of such websites or their sponsors by TripleTree, LLC nor is there any affiliation between TripleTree, LLC and such sponsors and such sponsors do not endorse, authorize or sponsor this website. Moreover, TripleTree, LLC is in no way responsible for the availability, content or accuracy of other websites, services or goods that may be linked to, or advertised on, the website and does not make any warranty, express or implied, with respect to the use of the links provided on, or to, the website or guarantee the accuracy, completeness, usefulness or adequacy of any other websites, services, goods or advertisements that may be linked to the website. You understand and agree that you will use or rely on such websites solely at your own risk and that TripleTree, LLC does not grant to you any rights in respect of such websites.

You agree, at your own expense, to indemnify, defend and hold harmless TripleTree, LLC and its employees, representatives, suppliers and agents, against any claim, suit, action or other proceeding against TripleTree, LLC, its affiliates, its employees, representatives, Suppliers and agents, by a third party, to the extent that such claim, suit, action or other proceeding is based on or arises in connection with your use of the website, or any links on the website, including, but not limited to: (i) your use or someone using your computer's use of the website; (ii) your use or someone using any password you may obtain; (iii) a violation of the terms set forth in this Legal and Privacy Statement by you or anyone using your computer or password; (iv) a claim that any use of the website by you or someone using your computer or password infringes any intellectual property right of any third party, is libelous or defamatory, or otherwise results in injury or damage to any third party; (v) any deletions, additions, insertions or alterations to, or any unauthorized use of, the website by you or someone using your computer or password; (vi) any misrepresentation or breach of representation or warranty made by you contained herein: or (vii) any breach of any covenant or agreement to be performed by you hereunder. You agree to pay any and all costs, damages and expenses, including, but not limited to, reasonable attorneys' fees and costs awarded against or otherwise incurred by or in connection with or arising from any such claim, suit, action or proceeding attributable to any such claim.

Privacy Policy

TripleTree, LLC is committed to protecting the privacy of your personal information. This Privacy Statement describes how TripleTree, LLC ("TripleTree" or "we" or "our") collects, stores, uses and protects your personal information when you access or use our website: www.triple-tree.com (the "Site").

How to Contact Us

If you have any questions or issues about this Privacy Statement or how TripleTree handles personal information, please send us an email to info@triple-tree.com or a letter to: ATTN: Chief Compliance Officer, 3600 Minnesota Drive, Suite 250, Minneapolis, MN 55435

Acceptance

Please carefully review this Privacy Statement. By visiting and using our Site, you acknowledge that you understand the data collection practices and other information in this Privacy Statement

If you do not agree with or you are not comfortable with any aspect of this Privacy Statement you should immediately discontinue use of our Site.

Changes to this Privacy Statement

TripleTree reserves the right to change or update this Privacy Statement at any time.

If we make a material change to this Privacy Statement, we will provide you with notice on the Site. By continuing to visit the Site after those changes become effective, you agree to be bound by the revised Privacy Statement. To find out when we last updated this policy, please refer to the date listed after “Last Modified” at the top of this Privacy Statement. In addition, we may provide you with "just-in-time" disclosures or additional information about the data collection, use and sharing practices of specific parts of our Site. These notices may provide more information about our privacy practices, or provide you with additional choices about how we process your personal data.

What if I am Visiting the Site from Outside the United States?

At this time, the Site is only intended to be available to residents of the United States and it is not intended to be directed to anyone residing outside of the United States.

If this current limitation changes, we expect that the Privacy Statement available to non-U.S. residents will reflect the laws and regulations of the territories where the Site is intentionally made available.

What is Personal Information?

For purposes of this Privacy Statement, we define “personal information” as personally identifiable information you provide to us such as your name, mailing address, email address, telephone or wireless phone number, social security number (used for identification purposes), or other information that identifies you.

Personal Information We May Collect

The personal information and other data we may collect when you visit the Site depends on how you use the site. The following are examples of the personal data and other information we may collect when you visit the site:

Information You Voluntarily Provide:

  • Contact Us. If you provide personal information via the Let’s Connect feature on the Site, we will collect your name, email and any personal information you disclose in your message to us.
  • Career. If you provide personal information to us by submitting information via the Careers page on our Site, we will collect the personal information requested and maintain it for as long as required to fill the position or comply with our legal obligations.
  • Log Data. We automatically receive and store in log files certain information from your browser when you visit the
  • Site. This information includes your Internet Protocol ("IP") address, browser type, Internet services provider, referring/exit pages, your operating system, and the date/time stamp of your Site visit. We use this information, which doesn’t identify individual Site visitors, to analyze and understand how the Site works for you so we can improve it, to administer the Site, and to gather demographic information about Site visitors for targeted online marketing purposes.
  • Cookies. We may use "cookies" and similar tracking technologies (e.g., web beacons and pixels) to collect and store information about your use of our Site. Please refer to the "Cookies" section below for more information about the cookies and tracking technologies we use and how to control them.

How We Use Your Personal Information

We may use your personal information for various purposes, including:

  • providing, analyzing, and improving our Site;
  • communicating with you regarding our Site if you request information from us;
  • direct and re-targeted advertising unless you decline to share this information via the Cookie settings addressed in the Cookies section below;
  • ensuring network and information security.

How We Share Your Personal Information

If you permit Cookies and other tracking technologies to be utilized when you visit the Site, we may share your IP address and other information collected for the purpose of delivering targeted marketing to you (please see our Cookie section below).

Cookies & Similar Tracking Technologies We Use & How to Manage Cookies

As mentioned above, the Site may use cookies and similar tracking technologies.

Cookies & How We Use Them.

Cookies are bits of data that a website sends to a web browser on a visitor’s computer. Cookies help us to collect information about visitors to the Site, including date and time of visit, pages viewed, amount of time spent on our sites, or general information about the device used to access the site. Cookies are also used for security purposes and to personalize your experience, such as customizing your screen layout. We may also collect additional information to Site visitors including, but not limited to, duration of visit and IP address for the purposes of targeted marketing that may be of interest to you.

TripleTree may use third-party companies to provide you with TripleTree advertisements and other targeted advertising that may be relevant to your interests, as determined by your activity on the Site and other websites on the Internet. This type of ad customization is known as “online behavioral” or "interest-based" advertising. These advertising companies may use cookies to understand your interests based on, for example, pages visited and browsing patterns on the Site and other websites on the Internet.

We use and collect social media data on our social media profiles. Raw social media data is the collected information from social networks that show how users share, view or engage with our content or profiles (such as "likes" or comments/mentions made via social media).

If you change your activity when using our social media sites, or if you unsubscribe to us using your social media account, you may lose functionality to our information.

Types of Cookies on Our Site.

We use the following types of cookies on our Site:

Strictly Necessary Cookies. These cookies are essential because they enable you to move around and use our Site. For example, strictly necessary cookies allow you to access secure areas on our Site. Without these cookies, some services on the Site cannot be provided. These cookies do not gather information about you for marketing purposes. This category of cookies is essential for our Site to work and they cannot be disabled.

Functional Cookies. We use functional cookies to remember your choices so we can tailor our Site to provide you with enhanced features and personalized content. For example, these cookies can be used to remember your name or preferences on our Site. We do not use functional cookies to target you with online marketing. While these cookies can be disabled, this may result in less functionality during your use of our Site.

Performance or Analytic Cookies. These cookies collect anonymous passive information about how you use our Services, including web pages you visit and links you click. We use the information collected by such cookies to improve and optimize our Site. We do not use these cookies to target you with online marketing. You can disable these cookies.

Third-Party Cookies. These are cookies that are provided by third-party service providers and belong in one of the cookie categories described above. These third-party providers process your personal information on our behalf pursuant to our instructions and obligations consistent with this Privacy Policy.

How long will cookies stay on my browsing device?

The length of time a cookie will stay on your browsing device depends on whether it is a "persistent" or "session" cookie. Session cookies will only stay on your device until you stop browsing. Persistent cookies stay on your browsing device until they expire or are deleted (i.e. after you have finished browsing). The expiration time or retention period applicable to persistent cookies depends on the purpose of the cookie collection and tool used. You may be able to delete cookie data as described below.

How to Manage Cookies:

Depending on whether you would like to manage a first-party or third-party cookie, you will need to take the following steps:

First-Party Cookies. You can enable, disable or delete our cookies through the browser you are using to access our Site. To do this, follow the instructions provided by your browser (usually located within the “Help”, “Tools” or “Edit” settings). Please note, if you set your browser to disable cookies, you may not be able to access secure areas of our Site, and/or parts of the Site may not work properly for you. You can find more information about how to change your browser cookie settings at http://www.allaboutcookies.org.

In addition, many browser manufacturers provide helpful information about cookie management, including, but not limited to:
Google Chrome
Internet Explorer
Mozilla Firefox
Safari (Desktop)
Safari (Mobile)
Android Browser
Opera
Opera Mobile

Third-Party Cookies. Cookies that are placed on your browsing device by a third party can be managed through your browser (as described above) or by checking the third party’s website for more information about cookie management and how to “opt-out” of receiving cookies from them.

Some of the third parties that serve analytics and marketing cookies via our Site allow you to opt-out of their processing directly, as further described on their websites below:

How to Opt-Out of Interest-Based Advertising.

If you would like more information about cookies and targeted advertisements or to opt out of having this information used by companies that are part of the Network Advertising Initiative, please visit www.networkadvertising.org/choices.

How Does TripleTree Protect My Personal Information?

TripleTree employs physical, electronic and managerial procedures to safeguard the security and integrity of your personal information. Billing and payment data is encrypted whenever transmitted or received online. Personal information is accessible only by staff designated to handle online requests or complaints. All TripleTree employees, agents, personnel and contractors with access to personal information on our Site are bound to adhere to appropriate physical and technical measures to ensure the protection of personal information. But please remember that, while we use industry standard precautions to safeguard your personal information, this is not a guarantee that your information may not be accessed, disclosed, altered, or destroyed by breach of any of our physical, technical, or managerial safeguards. We cannot guarantee or warrant the security of any information you transmit to us and you do so at your own risk.

To learn more about security at TripleTree, please contact us at info@triple-tree.com.

California Residents

TripleTree is part of the Capital One family of companies. The Capital One California Consumer Privacy Act Disclosure also applies to certain information that we and other Capital One affiliates collect about California residents.

In addition, any users of the Site who are California residents are entitled to request and receive once a year, free of charge, a notice from us describing what categories of personal customer information (if any) we shared with third parties, including our corporate affiliates, for their direct marketing purposes during the preceding calendar year. If applicable, the notice will identify the categories of information that we shared, and the names and addresses of the third parties and affiliates with which we shared your information. If you are a California resident and would like to request a copy of this notice, please submit a written request to the following address: ATTN: ATTN: Chief Compliance Officer, 3600 Minnesota Drive, Suite 250, Minneapolis, MN 55435,or by email at info@triple-tree.com. In your request, please specify that you want a "California Privacy Rights Notice." Please allow at least thirty (30) days for a response.

Children

TripleTree is committed to protecting the privacy of children as well as adults. Neither TripleTree nor its Site are designed for, intended to attract, or directed toward children under the age of 18. We adhere to the Children’s Online Privacy Protection Act (“COPPA”) and will not knowingly collect personal information from any child under the age of 18, unless a parent or guardian consents to our collection and processing of such information. If a parent or guardian becomes aware that his or her child has provided us with personal information without their consent, he or she should contact us at info@triple-tree.com. If we become aware that a child under 18 has provided us with personal information, we will take steps to delete such information from our files.

Retention

TripleTree will retain your personal information for the length of time needed to fulfill the purposes outlined in this Privacy Policy unless a longer retention period is required or permitted by law.

Like most websites we use cookies here, but we don't share your information. By continuing your visit, you accept the use of cookies. Find out more