ADV I, II, & Privacy Statement

Registered investment advisors must disclose information about their practices on Forms ADV I and ADV II A; ADV II B contains information about the firm’s investment advisor representatives.

As of March, 2011, you will find theses document on the SEC’s Website. The ADVs are required to be updated annually, within 90 days of the advisor’s year end, and when material changes occur.

To request the firm’s ADV II A and B documents, including our Privacy Statement, please email info@yalecapitalcorp.com.

Disclosures

General Disclosures:
Yale Capital Corp. has an affiliated company related by common ownership and control, YCC Support Services Inc. Data may be shared between the two companies. This presentation should not be regarded as a complete analysis of the subjects discussed. All expressions of opinion reflect the judgment of the authors as of the date of the presentation and are subject to change. Information presented does not involve the rendering of personalized investment advice, but is limited to the dissemination of general information on products and services.

All investment strategies have the potential for profit or loss. Changes in investment strategies, contributions or withdrawals may materially alter the performance and results of your portfolio. Past performance may not be indicative of future results. Therefore, no current or prospective client should assume that the future performance of any specific investment, investment strategy (including the investments and/or investment strategies recommended by the adviser), will be profitable or equal to past performance levels. Different types of investments involve varying degrees of risk, and there can be no assurance that any specific investment will either be suitable or profitable for a client’s investment portfolio.

The tax and estate planning information contained in this presentation is general in nature. It is provided for informational purposes only, and should not be construed as legal or tax advice. Always consult an attorney or tax professional regarding your specific legal or tax situation.

Yale Capital Corp. is a federally registered investment adviser. This firm may only transact business or render personalized investment advice in those states and international jurisdictions where we have filed notice or are otherwise excluded or exempted from registration requirements. The purpose of this web site is for information distribution on products and services. Any communications with prospective clients residing in states or international jurisdictions where Yale Capital Corp. and its investment advisor representatives are not registered or licensed shall be limited so as not to trigger registration or licensing requirements. Registration as an investment advisor does not imply a certain level of skill or training. Nothing on this web site should be construed as personalized investment advice, which can be provided only in one-on-one communications.

Performance Disclosures:
Clients are strongly urged to compare advisor reports with custodian statements. Past performance may not be indicative of future results. Therefore, no current or prospective client should assume that the future performance of any specific investment, investment strategy (including the investments and/or investment strategies recommended by the adviser), will be profitable or equal to past performance levels.

Custodian Disclosures:
Custodians have legally mandated transfer restrictions in place to protect investor assets. Client signed letters of authorization are required to process fund transfers to third party accounts and any account of not identical registration.