Disclosures and Risk Information

Protocol Wealth acts as a fiduciary and is required to act in clients' best interests.

A client relationship is established only through a signed written advisory agreement. Website content, chats, calculators, diagnostics, and educational materials are general information and are not personalized investment advice.

We do not provide legal or tax advice. Clients should consult qualified legal and tax professionals for their specific situation.

Securities are offered through Finalis Securities LLC Member FINRA / SIPC. Protocol Wealth LLC is not a registered broker-dealer, and Finalis Securities LLC and Protocol Wealth LLC are separate, unaffiliated entities. Finalis Securities LLC, Office of Supervisory Jurisdiction is located at 450 Lexington Ave, New York, NY 10017, 800-962-0418.

Jason Leupold is a Registered Representative of Finalis Securities LLC Member FINRA / SIPC.

Advisory services are provided through Protocol Wealth, LLC. Any commission-based or securities activity through Finalis Securities LLC is separate from advisory services and is disclosed where applicable.

protocolwealthllc.com (the "Protocol Wealth Website") is a website operated by Protocol Wealth LLC. This website is for informational purposes only, is not an offer, solicitation, recommendation, or commitment for any transaction or to buy or sell any security or other financial product, and is not intended as investment advice or as a confirmation of any transaction. Products and services on this website may not be available for residents of certain jurisdictions. Please consult with a Finalis Securities' registered representative regarding the product or service in question for further information. Investments involve risk and are not guaranteed to appreciate.

• Finalis Privacy Policy
• Finalis Business Continuity Plan
• FINRA BrokerCheck
• Finalis Form Customer Relationship Summary ("Form CRS")

We use technology, analytics, and AI-assisted tools to support research, drafting, operational workflows, and educational communications. AI agents may carry out implementation steps under defined instructions and permissions.

We do not delegate fiduciary responsibilities or discretionary investment authority to automated systems. AI tools do not make final investment decisions, do not provide final personalized advice without human review, and do not execute trades or transfer client assets.

Human adviser and compliance oversight is required before client-facing recommendations and production publication of regulated content. AI-generated output may contain errors or omissions and is not relied on as the sole basis for advisory decisions.

We apply data minimization and security controls when using third-party technology providers, and we maintain supervisory records of AI-assisted workflows as part of our compliance program.

We disclose material conflicts of interest in Form ADV and in client agreements. Compensation terms, including retainer and AUM-based fees, are disclosed in writing before engagement.

If a conflict cannot be eliminated, it is disclosed and managed under our fiduciary obligations and compliance program.

We maintain information security policies and incident response procedures designed to protect client data. No system is completely secure.

Please do not transmit sensitive account credentials, Social Security numbers, or private keys through website forms or chat.

Review our Privacy Policy for additional details.

Protocol Wealth provides advisory services only in jurisdictions where it is properly registered or exempt from registration.

Third-party links are provided for convenience. We do not control third-party content and do not guarantee its accuracy or availability.