Thank you for establishing an account or investment advisory relationship with Solas Wealth Strategies. The information provided below applies to Solas Wealth Strategies. Your financial professional has associated with Solas Wealth Strategies as his/her broker-dealer and/or investment adviser to provide you investment products and services. These privacy policies apply to clients who obtain or apply for a financial product or service, or have done so in the past, with Solas Wealth Strategies. They do not apply to any outside business activity your financial professional may engage in separate from our companies.
Please take a moment to read the following information regarding our privacy policies, which apply to all clients, including individual, corporate, and retirement plan clients. We have also provided disclosure information regarding select provider relationships, the public disclosure program of the Financial Industry Regulatory Authority (FINRA) and consolidated financial account reports.
If you are a client who receives advisory services from our company, information about the Form ADV 2A of the applicable company, and how to obtain a current copy of this disclosure document is also provided.
The following information is for the current year 2026.
| FACTS | WHAT WE DO WITH YOUR PERSONAL INFORMATION |
| WHY? | Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some, but not all, information sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand our privacy policies. |
| WHAT? | The types of information we collect and share depend on the product or service we provide to you. This information can include:
|
| HOW? | We need to share personal information to provide services to you and run our everyday business. In the section below, we list the reasons we may share your information with third parties and whether you can limit this sharing. |
| Reasons we can share your personal information: | Do we share? | Can you limit sharing? |
|---|---|---|
| For our everyday business purposes Such as to process and service transactions and account(s), respond to regulatory authorities, court orders and legal investigations, or report to credit bureaus |
Yes | No |
| For our marketing purposes To offer our products and services to you |
Yes | No |
| For joint marketing with other financial companies | No | We do not share |
| For our affiliates’ everyday business purposes Information about your transactions and experiences |
Yes | No |
| For our affiliates’ everyday business purposes Information about your creditworthiness |
No | We do not share |
| For our affiliates to market to you | Yes | No |
| For our non-affiliates to market to you | No | We do not share |
| If the financial professional servicing your account(s) leaves to join another financial institution, they may retain copies of your personal information so they can continue to serve you at their new firm. In the event of such a transition, your financial professional should not share your information with a third party without your consent other than as necessary to continue to provide you services.
Please note: Certain states require affirmative consent to allow sharing. See below for more information on your rights under state law. In the event that a financial professional terminates his or her relationship with Solas Wealth Strategies, and you want to follow your financial professional to his or her new firm, please do not request to limit our sharing. |
Yes | Yes |
| Reasons we can share your personal information: | Do we share? | Can you limit sharing? |
|---|---|---|
| For our everyday business purposes Such as to process and service transactions and account(s), respond to regulatory authorities, court orders and legal investigations, or report to credit bureaus |
Yes | No |
| For our marketing purposes To offer our products and services to you |
Yes | No |
| For joint marketing with other financial companies | No | We do not share |
| For our affiliates’ everyday business purposes Information about your transactions and experiences |
Yes | No |
| For our affiliates’ everyday business purposes Information about your creditworthiness |
No | We do not share |
| For our affiliates to market to you | Yes | No |
| For our non-affiliates to market to you | No | We do not share |
| If the financial professional servicing your account(s) leaves to join another financial institution, they may retain copies of your personal information so they can continue to serve you at their new firm. In the event of such a transition, your financial professional should not share your information with a third party without your consent other than as necessary to continue to provide you services.
Please note: Certain states require affirmative consent to allow sharing. See below for more information on your rights under state law. In the event that a financial professional terminates his or her relationship with Solas Wealth Strategies, and you want to follow your financial professional to his or her new firm, please do not request to limit our sharing. |
Yes | Yes |
| To limit our sharing if your financial professional leaves Solas Wealth Strategies: | Please read the grey highlighted sentence above before contacting us to limit the sharing of your information.
Please note: if you are a new customer, we can begin sharing your information from the date we provided you with this notice. When you are no longer our customer, we continue to share your information as described in this notice; however, you may contact us at any time to limit our sharing as described above. |
| To limit our sharing if your financial professional leaves Solas Wealth Strategies: |
Please read the grey highlighted sentence above before contacting us to limit the sharing of your information.
Please note: if you are a new customer, we can begin sharing your information from the date we provided you with this notice. When you are no longer our customer, we continue to share your information as described in this notice; however, you may contact us at any time to limit our sharing as described above. |
| What We Do | |
|---|---|
| How do we protect personal information? | To protect your personal information from unauthorized access and use, we use technical and physical security measures designed to comply with applicable law. When we share information with third parties, we hold parties to commercially reasonable standards of privacy protection. We have policies designed to ensure only those persons who need your information to perform their job have access to it. In addition, we maintain physical, electronic and procedural security measures designed to comply with applicable regulations to protect your information. We train our employees in the proper handling of personal information. |
| How do we collect personal information? | We collect personal information, for example, when you
We also collect your personal information from others, such as affiliates or other companies. |
| Why can’t I limit all sharing? | Federal law gives you the right to limit only:
|
| Definitions | |
|---|---|
| Affiliates | Companies related by common ownership or control. They can be financial and nonfinancial companies.
|
| Non-affiliates | Companies not related by common ownership or control. They can be financial and nonfinancial companies.
|
| Joint Marketing | A formal agreement between non-affiliated financial companies that together market financial products or services to you.
|
Some state laws grant additional privacy rights to their residents. If you live in an “opt-in” state, where we are required to obtain your affirmative consent to share your nonpublic personal information with nonaffiliated third parties who do not currently assist us in servicing your account or conducting our business, your financial professional is required to obtain your consent before they can take your information with him or her should they leave our firm.
California residents: For California residents, we will not share your personal information with nonaffiliated third parties, except as required or permitted by California law. In addition, for California residents, you are afforded certain rights regarding the nonpublic personal information that we collect from you, including the right to know what personal information we have collected from you, what it is being used for, whether it is being disclosed or sold to nonaffiliated third parties, to whom it is being disclosed or sold, and the right to request that we delete certain personal information that we have collected from you.
Vermont residents: For Vermont residents, we will not share information about your creditworthiness within Solas Wealth Strategies except with your consent, but we may share about our transactions or experiences with you within our corporate family without your consent, except as required or permitted by Vermont law.
Review of Account Statements/Consolidated Financial Account Reports
We have agreements with multiple sponsors of investment and insurance products, such as mutual funds, insurance carriers, and other companies with which you may have investments or that hold your assets. Solas Wealth Strategies clears its brokerage business through a third-party custodian, National Financial Services, LLC (NFS). Our investment advisers conduct investment advisory business through third-party custodians, such as NFS and Charles Schwab & Company. Our financial professionals may provide you with a consolidated financial account report or other summary of your accounts as a courtesy and for informational purposes.
These reports could include assets that are not held by or through our firm and are not covered by the Securities Investor Protection Corporation (SIPC). You should always refer to your original statements from companies that maintain custody of your assets to confirm the amount and value of investments held by these companies. Third party auditors that we hire to meet our regulatory requirements may contact you to verify assets held in custody by third-party custodians and sponsors of investment and insurance products.
You should regularly review account statements you receive and contact your financial professional or our firm
immediately if you believe there are any discrepancies. You may also go to www.FINRA.org or www.sec.gov for more consumer information. For more information about your accounts and statements please contact your financial professional.
Other Business Services
Our company provides securities brokerage and investment advisory services. Some of our financial professionals provide other business services that are not related to or the responsibility of Solas Wealth Strategies. For example, a financial professional of ours may also be a licensed CPA, attorney or other professional service provider. It is important to note that Solas Wealth Strategies does not provide other professional services such as tax and legal advice.
Form ADV 2A
The Form ADV 2A is a document used by investment advisors to provide detailed information about their business practices, fees, conflicts of interest, and other relevant details to clients. To request a copy of the Form ADV 2A, you may contact your financial professional. A current copy of this document is available on our public website, solaswealthstrategies.com/disclosures.
Select Provider Relationships
We make available hundreds of different mutual fund and variable insurance products to our financial professionals and customers. We also make available many retirement vehicles such as 401(k) and group variable annuity products, as well as alternative investment products such as limited partnerships, real estate investment trusts, and hedge fund products. Our financial professionals are free to choose what investment products they sell to customers from the many product offerings we approve. Because of the numerous investment and insurance alternatives available, our firm focuses on the sale of investment products of a select number of providers (Select Providers). Select Providers are given increased access to our financial professionals for the purpose of providing marketing, sales, education, and product support.
Solas Wealth Strategies receives both financial and non-financial support from Select Providers. We receive more compensation for the sale of products from Select Providers than for the products of other providers we sell and thus have a financial incentive to sell the products of Select Providers. The amounts and forms of compensation we receive from Select Providers vary based on a number of factors including level of past sales, prospective future sales and the types of service, education, support and access to distribution we provide. We receive one or more of the forms of compensation described below in connection with our arrangements with each Select Provider.
These payments are typically made from the resources of the investment adviser or distributor (or one of their affiliates) in the case of mutual fund Select Providers and from the resources of the insurance company (or its affiliate) in the case of variable annuities, group annuities, and variable life products. The payments typically are in addition to the sales charges, rule 12b-1 fees, redemption fees, deferred sales charges and other fees and charges you will find described in the prospectus fee tables or offering documents of the various investment products.
Our Select Provider Relationship information may change from time to time and be updated periodically. Please refer to our web site at solaswealthstrategies.com/disclosures/company-information for additional information.
Fees
For additional information regarding fees and compensation, you should refer to the prospectus and statement of additional information applicable to your investment.
Reminder
You should always keep your financial professional informed of any changes to your investment objectives or financial circumstances. Please call your financial professional to discuss any such changes. If you do not have a financial professional for your account or if your financial professional is no longer associated with Solas Wealth Strategies, please contact our home office at (858) 707-7074.
FINRA Public Disclosure Program
The FINRA Regulation Public Disclosure Program publishes an investor brochure that contains additional information about Solas Wealth Strategies and is available by contacting:
The FINRA Regulation Public Disclosure Program
P.O. Box 9401
Gaithersburg, Maryland
20898-9401
Telephone: (800) 289-9999
Fax: 301.212.8137
FINRA Website address: www.FINRA.org
If you have any questions or concerns regarding your account, please feel free to contact your financial professional or our offices at (858) 707-7074.
