We are committed to keeping the personal information collected from our potential, current, and former customers confidential and secure. The proper handling of personal information is one of our highest priorities. We want to be sure that you know why we need to collect personal information from you. We also want to explain to you our commitment to protect the information that you provide to us.

Customer Information

We only collect information that is necessary for us to provide services requested by you and to administer your business with us. We may collect nonpublic personal information:

• From you when you complete our fact finders in our application when you inquire about our investment advisory services. This typically includes your name, address, social security number, marital status, assets, and income.

• As a result of transactions with us, with our product or services providers, or others. This typically includes account numbers, account balances, parties to transactions, and transactions completed with us.

Sharing Information

We only share your nonpublic personal information with individuals as permitted by law. In the normal course of our business, we may disclose information we collect about you to companies or individuals that contract with us to perform servicing functions such as:

• Record keeping

• Preparation of statements

• Distribution of materials

• Administrative services related to securities and advisory transactions

When we provide personal information to a service provider, we require those providers to contractually agree to safeguard your information, to use the information only for the intended purpose, and to abide by applicable law.

Access to Information

Only individuals with a valid business reason have access to your personal information. These individuals are educated on the importance of maintaining the confidentiality and security of this information.

Protection of Information

We maintain security standards to protect your personal information, whether written, spoken, or electronic. We update our systems to ensure the protections and integrity of information.

Disclosure of our Privacy Policy

We recognize and respect the privacy concerns of our potential, current, and former customers. We are committed to safeguarding your personal information. As a member of the financial services industry, we are displaying this Notice of Privacy Policy for informational purposes and will update and distribute it as required by law. It is also available upon request.

Contact Us

If you have any questions regarding our privacy policy, please contact us by:

• Phone at (800) 711-7969; or
• E-mail

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