Protecting your personal information is an important priority for us, and our privacy policy is designed to support this objective. We are committed to maintaining the confidentiality, integrity, and security of personal information about our current and prospective customers. We are proud of our privacy practices and want you to know how we protect this information and use it to service your account.

We collect non-public personal information concerning you in the following ways:

• Information provided by you or your representative on applications, new account forms, or other forms provided to us, or through other interactions that you or your representative have with us.
• Information arising from the investments you make through our broker/dealer.

The type of nonpublic personal information that we collect includes:

• SSN, or Tax ID numbers;
• Client ID Informatoin;
• Approximate Client Income and Net Worth;
• Client Investment Experience;
• Client contact information, including addresses, phone numbers and email addresses; and
• Transaction and account information relating to the investment accounts for which we are listed as the dealer of record.

We employ physical, electronic, and procedural controls to safeguard your information. For example, we authorize access to your personal and account information only for personnel who need that information in order to provide products or services to you. Furthermore, all physical records containing nonpublic personal information are kept in a locked location that is only accessible by authorized employees of our firm. In order to protect our electronic records, we utilize firewall barriers and authentication procedures.

We do not disclose any nonpublic personal information about you, except as permitted by law. Furthermore, we do not reserve the right to disclose nonpublic personal information to affiliates or nonaffiliated third parties.

If you decide to close your account, we will continue to adhere to the privacy policies and practices as described in this notice.

Please feel free to contact us if you have any other questions relating to our privacy policy.