Moody Capital

Regulatory

Disclosures & Legal Notices

Last updated: March 2026

1. Important Notice

UnyKorn Securities, LLC ("UnyKorn" or the "Firm") is a technology-enabled broker-dealer. Securities offered through UnyKorn are subject to all applicable federal and state securities laws. This disclosure page is provided for informational purposes only and does not constitute an offer, solicitation, or recommendation to purchase or sell any security.

2. Broker-Dealer Registration

UnyKorn Securities, LLC is a broker-dealer registered with the U.S. Securities and Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). Our CRD number and BrokerCheck profile are available upon request and through FINRA's BrokerCheck system at brokercheck.finra.org.

3. Customer Relationship Summary (Form CRS)

As required by SEC Regulation Best Interest, our Form CRS (Customer Relationship Summary) describes the services we offer, our fees and costs, conflicts of interest, legal obligations, and disciplinary history. A copy of Form CRS is available upon request and will be provided to all new customers prior to or at the time of establishing a brokerage relationship.

4. Business Continuity Plan

UnyKorn maintains a Business Continuity Plan (BCP) designed to minimize service disruption in the event of a significant business interruption. The BCP is reviewed and updated at least annually. A summary of the plan is available upon request. In the event of a disruption, customers may contact our operations team via the contact information on our website.

5. Privacy Policy

UnyKorn is committed to protecting the privacy and security of client information. Our privacy policy, delivered to clients upon account opening and annually thereafter, describes the types of personal information we collect, how it is used and shared, and the measures we take to safeguard that information. We do not sell personal information to third parties. All client data is encrypted in transit and at rest using industry-standard encryption methods.

6. Order Handling & Best Execution

UnyKorn does not match, execute, or negotiate the terms of orders in listed securities. For private placements offered through our platform, UnyKorn acts as placement agent on behalf of issuers. Subscription orders are processed in the order received and are subject to issuer acceptance. UnyKorn does not guarantee allocation or acceptance of any subscription.

7. Fees & Compensation Disclosure

UnyKorn may receive placement fees, technology fees, or other compensation in connection with securities offerings distributed through our platform. Details of all fees applicable to a particular offering are disclosed in the relevant offering documents (Private Placement Memorandum, Subscription Agreement, etc.). Customers should review these documents carefully before investing.

8. Risks of Investing in Private Securities

Investments in private securities involve a high degree of risk and are suitable only for investors who can bear the loss of their entire investment. Private securities are illiquid and generally cannot be resold absent registration under applicable securities laws or an exemption therefrom. Past performance is not indicative of future results. Diversification does not guarantee profit or protect against loss.

9. Anti-Money Laundering (AML) Program

UnyKorn maintains a comprehensive AML compliance program in accordance with the Bank Secrecy Act and applicable FINRA rules. Our program includes customer identification procedures (CIP), suspicious activity monitoring and reporting, OFAC sanctions screening, ongoing risk-based due diligence, and regular training for all personnel. A copy of our AML policy is available for regulatory review upon request.

10. SIPC Membership

UnyKorn is a member of the Securities Investor Protection Corporation (SIPC). SIPC protects the clients of its member firms against the loss of securities and cash held in customer accounts in the event of a firm's insolvency. SIPC protection is limited to $500,000 per customer, including a $250,000 limit for cash. SIPC does not protect against market losses. For more information, visit www.sipc.org or call 1-202-371-8300.

11. Regulatory Filings & Reports

UnyKorn files all required reports with the SEC and FINRA, including but not limited to Form BD, annual FOCUS reports, and customer complaint reports. Copies of public filings may be obtained through the SEC's EDGAR system or FINRA's BrokerCheck.

12. Complaints

If you wish to file a complaint regarding any aspect of our business, you may do so by writing to our Chief Compliance Officer at compliance@unykorn.org. All complaints are logged, investigated, and resolved in accordance with FINRA Rule 4530 and our internal complaint handling procedures.

This page is maintained by UnyKorn's Compliance Department. To request a copy of any document referenced above, contact compliance@unykorn.org.

Securities offered through Moody Capital are subject to applicable federal and state securities laws. Participation is limited to qualified and accredited investors as defined under Regulation D of the Securities Act of 1933, Regulation A+, and Regulation S. All offerings are made pursuant to available exemptions and are not registered with the SEC or any state securities commission. Investment in private securities involves significant risk including possible loss of principal. Past performance does not guarantee future results. This platform is operated by a registered broker-dealer and FINRA member firm.