Disclosures

• Important Disclaimer
• Business Continuity Plan
• Privacy Policy
• E-mail Communication Policy
• FINRA Public Disclosure Program

Important Disclaimer

AW Securities is a Registered Broker-Dealer, member FINRA/SIPC. AW Securities is securities licensed in 50 states and this website is published in the United States for residents of the United States only. Products and services mentioned in this website may not be available in all states. To request a prospectus or information, contact AW Securities or your advisor. AW Securities is not soliciting business in any international jurisdictions. The home offices of AW Securities and Allworth Financial are located in Sacramento, California. The information and opinions on this site, provided by third parties, have been obtained from sources believed to be reliable, but accuracy and completeness cannot be guaranteed. It is given for informational purposes only and is not a solicitation to buy or sell. This information is not intended to be used as the primary basis for investment decisions, nor should it be considered as advice designed to meet the specific needs of an individual investor. Please seek the advice of professionals, as appropriate, regarding the evaluation of any specific information, opinion, advice, or other content. Advisory services are provided by Allworth Financial, an SEC Registered Investment Advisory Firm. Information about those services may be reviewed in the Allworth Financial form ADV, Part 2. Contact your advisory associate for the current form. AW Securities and Allworth Financial are not banks, and the products offered involve risks including possible loss of principal, and may fluctuate in value. Allworth Financial are not directly compensated by commissions. They are compensated through a base salary plus incentive program. Linked sites are not under the control of AW Securities or Allworth Financial and AW Securities or Allworth Financial are not responsible for the contents of any linked site or any link contained in a linked site, or any changes or updates to such sites.

Business Continuity Plan

Allworth Financial Group, including its affiliates, Allworth Financial, LP and Hanson McClain Retirement Network, LLC (dba AW Securities) (collectively, “Allworth,” “we” or “our”) has developed this Business Continuity Plan (“BCP”) to ensure that we are able to respond to emergencies or other significant business disruptions and meet our existing obligations to customers.

Responsible Persons

Allworth's Chief Operations Officer is primarily responsible for ensuring that the BCP is appropriate to the scale and scope of our business and for implementing and maintaining it, including through annual reviews.

How to Contact Us

If, due to a significant disruption in our business, you can contact us at (800) 482-2196, (916) 787-4565, or info@allworthfinancial.com. If you cannot reach Allworth through these means, please use the contact information for your custodian (e.g. TD Ameritrade, Charles Schwab, Fidelity) or mutual fund/annuity company where your account is held.

You can also visit www.allworthfinancial.com where the BCP disclosure, including any updated information, is located at the bottom of the page, listed under Disclosures, Business Continuity Plan.

How to Contact Custodial Firms

If you cannot reach Allworth and you have a fee-based advisory or brokerage account held at one of the custodial firms listed below, please contact the custodial firm directly for assistance with accessing your account(s) or to place trades.

Assets Held with Fund Sponsor

If you hold assets directly with a mutual fund or variable annuity company (a “Fund Sponsor”), please contact that company (e.g.: American Funds, Franklin-Templeton, Putnam, Jackson-National, Allianz, etc.) directly for instructions on how to access your account(s), place trades or process any other account maintenance or servicing needs. Contact information for the Fund Sponsor can usually be found on the monthly or quarterly statement sent to you by the Fund Sponsor or custodian of your account assets.

Our Business Continuity Plan

Our BCP is designed to permit Allworth to resume operations as quickly as possible according to the scope and severity of the business disruption.

Our BCP addresses: data backup and recovery; mission critical systems; financial and operational assessments; alternate means of communication with clients, employees, and regulators; alternate locations for employees; impact on critical suppliers, contractors, custodians and other third parties; regulatory reporting; and assuring our customers prompt access to their account(s) if we are unable to continue our business without interruption.

We have reviewed and continue to monitor the business continuity plans of third-party custodians and service providers to ensure that each third party has reasonable policies and procedures in place to restore operations as quickly as possible to prevent any interruptions with placing trades, processing distributions, accepting new funds, or otherwise protecting client data and funds.

Current business continuity plans for our primary custodians can be found by following the links listed below:

• Charles Schwab: Business continuity and contingency planning | Charles Schwab
• Fidelity: Business Continuity - Fidelity

How We Prepare for Significant Business Disruptions of Varying Scope

Business disruptions vary in scope. A business disruption can vary from minor to significant. A business disruption can affect Allworth only, specific technology that we use or a facility, neighborhood, city, or region in which we operate.

If Allworth experiences a significant business disruption that effects only our operations of a single facility through which we operate, we will, whenever possible, transfer operations to another location while we investigate, with the objective of recovering and resuming operations within one business day. While Allworth is experiencing a disruption in its business, we will post update notices at www.allworthfinancial.com or make information available through our customer emergency number, (800) 482-2196. If the significant business disruption prevents us from continuing business operations, our clients will be able to access their account(s) by contacting the appropriate custodian for the account or, as applicable, the Fund Sponsor, for clients of AW Securities, Allworth's registered broker dealer.

Periodic Review

Our BCP is periodically tested and reviewed as we deem necessary to address changes in our technology, operations, or structure.

Updates to our Business Continuity Plan

Our BCP is subject to modification as we deem appropriate. When we update our BCP, an updated business continuity statement will be promptly posted on www.allworthfinancial.com, making it available for clients and the public.

For More Information

If you have questions about our business continuity planning or would like us to mail you a copy of this notice, please contact us at (800) 482-2196 or info@allworthfinancial.com with "Business Continuity Plan Disclosure" listed in the subject line.

Privacy Policy

Last Updated: April 20, 2026

INTRODUCTION

Allworth Financial and its affiliated entities AW Securities and Allworth Tax Solutions (hereinafter collectively referred to as “Allworth,” “we,” “us,” or “our”) appreciates your trust and respects your privacy. This Privacy Policy describes the Personal Information that we collect from or about visitors to our websites (collectively, the “Site”) and from users of our financial services (our “Services”) and why, as well as how we use, share and protect such Personal Information.

As used in this Privacy Policy, “Personal Information” means information that identifies, relates to, describes, is reasonably capable of being associated with, or could reasonably be linked, directly or indirectly, to you. This includes “personal data” or similar terms used in applicable laws.

ALLWORTH IS A FINANCIAL INSTITUTION: Allworth is a “financial institution” under the Gramm-Leach-Bliley Act (“GLBA”). As such, any Personal Information provided by you or collected from you in the course of providing your financial services is subject to the GLBA’s additional restrictions and safeguards and will only be shared in limited circumstances. If you are our “customer” please see our Customer Notice of Privacy Practices for more information. You are our customer if you are an individual who has a continuing relationship with Allworth through an advisory or brokerage account.

STATE LAW PRIVACY NOTICE: For residents of states with privacy laws that apply to Allworth’s non-GLBA practices (such as our use of Personal Information for targeted advertising), please see our State Law Privacy Notice for additional information about our practices and your rights with respect to your Personal Information.

INFORMATION WE COLLECT AND WHY WE COLLECT IT

1. How We Collect Your Personal Information
2. Why We Collect and Process Your Personal Information

The Personal Information Allworth collects from or about you depends on how you use the Site and our Services. Our three main sources of Personal Information are:

Information that you provide directly to Allworth:

• We collect name, address, email address and telephone number when you sign up to receive our newsletters, updates and checklists, register to attend one of our workshops or other events, when you fill out a form to schedule a consultation for financial or tax advice, when you use our online tools and resources, when you create an account, and when you otherwise communicate with us.
• When you submit a request for a consultation with one of our professionals, we collect information about your retirement savings and other information you choose to provide us. Information we collect may include but is not limited to: government issued identifiers; income; account balances; transaction history; assets; investment experience; account transactions; risk tolerance; medical-related debts; credit card or other debt; mortgage rates and payments; retirement assets; checking account information; employment information; and wire transfer instructions.
• When you use our tax preparation services, we collect the information that you give us to prepare your tax returns including your Social Security Number or other government identification.

Information collected from third parties:

We may collect Personal Information about you from third-party sources, such as marketing services vendors that help us identify individuals who may be interested in learning more about our Site and Services and to supplement Personal Information we already have about you, such as when we acquire a contact list from data aggregators and from publicly-available sources so that we can better understand who is interested in our Site and Services.

Information automatically collected:

We and our third-party partners automatically collect certain Personal Information using different data collection technologies such as cookies, pixels, and tags on our Site, and in email messages and certain online advertisements.

The information that we automatically collect includes information about how your computer or device interacts with our Site, including the date, time, search requests and results, webpages accessed and links clicked; IP address, device type and identification number, browser type, internet service provider, operating system and other technical information. This may also include the pages you view immediately before and after you access our Site, the areas or pages of our Site that you visit, the amount of time you spend viewing or using our Site, keystrokes, mouse movements, form field entries, recordings of chat sessions or your use of and inputs to other AI-supported tools, and other use and overall engagement with our Site.

We use this automatically collected information to better understand how our Site is used so that we can improve it and develop new features, such as by to measuring the number of unique visitors to the different sections of our Site, to understand how people find our Site and to help us make our Site and marketing more useful. We also use this information to detect and block fraudulent use of the Site and to deliver advertising.

We collect and process your Personal Information for the following reasons:

• To provide you with our Services, including to manage your accounts and process orders.
• To process your payments and fulfill your requests.
• To create, maintain, customize, and secure your account with us.
• To communicate with you, such as through bots (which may be powered by third party vendors and be trained on your inputs through AI-based technology), including to respond to your inquiries/requests and request feedback from you, and to send you important updates and messages about changes to our Sites, this Privacy Policy, and/or other applicable terms and conditions.
• To review the usage and maintain the operation of our Sites and Services.
• To conduct analysis and develop and/or improve our Sites.
• To conduct research and consumer surveys to better understand the customer experience and enhance our Sites and Services.
• To monitor, protect, and maintain the security and integrity of our Sites and our business, such as protecting against and preventing fraud, unauthorized transactions, claims and other liabilities.
• To comply with applicable laws and regulations and respond to lawful requests and communications from law enforcement and other government officials.
• To carry out sales and business transactions in which information held by us is among the assets transferred or is otherwise relevant to the evaluation, negotiation, or completion of the transaction.
• To protect our rights, privacy, safety, property and/or those of others.
• To fulfill any other purpose for which you provide your Personal Information or as explained to you at the point of information collection.
• To provide you or others with customized content or targeted offers, including targeted advertising.
• To send you information, newsletters, and marketing/promotional material from us and, or on behalf of, our marketing partners and affiliates.

HOW WE DISCLOSE PERSONAL INFORMATION

Allworth discloses Personal Information with organizations that help us operate the Site and our Services, when we are legally required to do so and otherwise as described in this Privacy Policy. We share Personal Information with the following categories of recipients:

• Service Providers. We may share your Personal Information with our service providers for business or commercial purposes. Your Personal Information may be shared so that they can provide us with services, including identity verification, fraud detection and prevention, credit verification, security threat detection, payment processing, customer support, data analytics, information technology, advertising, marketing, data processing, network infrastructure, storage, transaction monitoring, and tax reporting. We share your Personal Information with these service providers only so that they can provide us with services, and we prohibit our service providers from using or disclosing your Personal Information for any other purpose. Our service providers are subject to strict confidentiality obligations.
• Professional Advisors. We may disclose your Personal Information to our professional advisors such as lawyers, accountants and information security and forensics experts for purposes of audits, to comply with our legal obligations, or to otherwise provide the Services.
• Analytics Partners. We may share your Personal Information with our partners that assist us in performing analytics and help us measure the effectiveness of our Site’s content and our marketing and advertising efforts.
• Marketing and Advertising Partners. We may disclose certain Personal Information to vendors for marketing and targeted advertising purposes, including social media platforms, third party advertising networks, and other parties that assist us in serving and optimizing our advertisements.
• Competent Government or Public Authorities. We may be required to share your Personal Information with law enforcement, government regulators, courts or other third parties when necessary (i) to comply with legal or regulatory obligations, (ii) to exercise, establish or defend our legal rights, or (iii) to protect the vital interests of you or a third party.
• Corporate Transactions. We may disclose Personal Information to potential or actual acquirers or investors and their professional advisers in connection with any proposed merger, acquisition or investment in or of all or any part of our business, including with or without notice. This includes consumer non-public personal information as set forth in §248.15 of Regulation S-P.
• Our Affiliates. We may share your Personal Information with our affiliates, for the purposes outlined in this Privacy Policy, and as it is necessary to provide you with our Services.
• Other Parties. We may disclose your Personal Information to other parties at your direction or with your consent, where required by law, or as we believe necessary or appropriate either to: (i) comply with applicable law; (ii) protect our operations and those of any of our affiliates; (iii) investigate and prevent against fraud; (iv) protect our rights, privacy, safety, or property and/or those of others; or (v) allow us to pursue available remedies or limit damages that we may sustain. We may share or disclose your Personal Information for other business or commercial purposes as permitted by law.

YOUR PRIVACY RIGHTS

State Privacy Rights. Depending on your state of residence, you may have the right to exercise certain privacy rights related to your non-GLBA covered Personal Information. Please visit our State Law Privacy Notice for more information.

GLBA Rights. For more information on your rights with respect to your nonpublic personal information related to your use of our financial services, please click here.

Your Rights as a Florida Resident. If you are a new customer, we can begin sharing your information 45 days from the date you received our privacy notice. When you are no longer our customer, we may continue to share your information as described in this policy. However, you can contact us at any time to limit our sharing and to restrict online marketing and direct mail.

Opt-Out of Marketing Communications: To opt-out of receiving our direct mailers or promotional emails, you may contact us at education@allworthfinancial.com, call us at (888) 242-6766, or send a written request to 340 Palladio Parkway, Suite 501, Folsom, California, 95630. We will honor those requests, but please understand it may take several days for these communications to end.

HOW WE PROTECT YOUR INFORMATION

Allworth uses technical, physical and administrative safeguards intended to protect the Personal Information that we collect from and about you. Our safeguards are designed to provide a level of security appropriate to the risk of processing your Personal Information and include (as applicable) measures to ensure the ongoing confidentiality, integrity, availability and resilience of processing systems and a procedure for regularly testing, assessing and evaluating the effectiveness of technical and organizational measures for ensuring the security of Personal Information. We restrict access to your Personal Information to employees and other approved third parties working on our behalf who have a specific business purpose to access that information.

We may suspend your use of all or part of our Site without notice if we suspect or detect any breach of security. If you believe that information you provided to us is no longer secure, please notify us immediately at privacy@allworthfinancial.com.

If we become aware of a breach that affects the security of your Personal Information, we will provide you with notice as required by applicable law. When permitted by applicable law, we will provide this notice to you through the email address you used to communicate with us.

If you have any questions regarding the safeguarding of your nonpublic personal and financial information, please contact our Compliance Department at 340 Palladio Parkway, Suite 501, Folsom, California, 95630.

INFORMATION RETENTION

We will retain your Personal Information for as long as reasonably necessary to provide you with our Services that you request, for marketing purposes unless you opt out as described in our Privacy Policy, or otherwise where permitted or required in accordance with applicable law. We will retain and use your Personal Information as necessary to comply with our legal obligations, resolve disputes, and enforce our agreements. What this means in practice will vary between different types of information, and when we consider our approach, we take into account ongoing business or legal needs for the information, for example in relation to tax, health and safety, and potential or actual disputes or investigations.

In some instances, we may de-identify your Personal Information so that it is no longer linked or linkable to you and is no longer considered “Personal Information.” Where we de-identify Personal Information, we will never attempt to re-identify it and will maintain this data in accordance with applicable law. We may disclose de-identified data to third parties.

CHILDREN

Our Site and Services are intended for a general audience. We do not direct our Services to individuals under eighteen (18), nor do we knowingly solicit, collect, or sell any Personal Information from minors.

LINKS TO THIRD-PARTY WEBSITES

The Site may contain links to other websites that offer services we think our customers may find useful or will improve our Services. The links are provided for your convenience and are not controlled by Allworth, nor is the content monitored by Allworth. The third-party websites may require you to provide Personal Information to use their services. Allworth is not responsible for the content or the privacy practices of any third party. Use of any linked third-party website that you access through the Site is at your own risk. Personal Information collected on other websites is not covered by this Privacy Policy. Unless stated otherwise, the policies of those other websites govern the collection, use, disclosure and security of the Personal Information collected through them.

UPDATES TO THIS PRIVACY POLICY

We may update this Privacy Policy from time to time in response to changing legal, technical or business developments. When we update our Privacy Policy, we will post the updated version and change the “Last Updated” date above. If we make material changes to the Privacy Policy, we will notify you by temporarily noting “UPDATED” next to the Privacy Policy link in the footer of our Site or directly communicating with you via email or your account. Your use of the Site or any Services following revision to this Privacy Policy constitutes your agreement that all information collected from or about you after the revised policy is posted will be subject to the terms and conditions of the revised policy. Where required by applicable law, we will obtain your opt-in consent if we use Personal Information that we previously collected about you for a purpose that is materially different from the purposes we described in the version of our Privacy Policy applicable to you at the time we collected that Personal Information.

HOW TO CONTACT US

If you have questions about this Privacy Policy, please contact: compliance@allworthfinancial.com or 916-482-2196.

For all other inquiries, please contact: info@allworthfinancial.com or 916-482-2196.

Allworth State Law Privacy Notice

Last Updated: April 20, 2026

This State Law Privacy Notice (this “Notice”) supplements the Privacy Policy and applies solely to residents of California, Connecticut, Minnesota, Montana, and Oregon (“Applicable State Privacy Laws”).

Pursuant to the Applicable State Privacy Laws, this Notice provides additional details regarding our collection, use, and disclosure of residents’ Personal Information that are subject to these laws. This Notice also describes the rights available in relation to certain Personal Information we maintain and how consumers can exercise those rights.

Capitalized terms used but not defined in this Notice have the definitions ascribed to them in the Privacy Policy.

NOTE: Allworth Financial (“Allworth”) is a financial institution subject to the federal Gramm-Leach-Bliley Act (“GLBA”). The Applicable State Privacy Laws and this Notice do not apply to information we collect, maintain, use, or disclose to the extent such information is governed by or subject to the GLBA and related regulations. For example, Personal Information relating to consumers who use the Services to initiate or complete the process of requesting or applying for financial products or services (“financial information”) is governed by the GLBA and exempt from the Applicable State Privacy Laws. This means the Applicable State Privacy Laws do not require Allworth to honor consumer privacy rights requests with respect to this financial information. For additional information relating to your choices with respect to this information, see our Financial Privacy Disclosure.

This Notice applies only to residents of California, Connecticut, Minnesota, Montana, and Oregon whose interactions with us are limited to:

• Visiting Allworth online sites (whether website or mobile) and any Allworth affiliates or subsidiary online sites (the “Sites”);
• Signing up for our email alerts;
• Utilizing chatbot technology on the Sites; and/or
• Establishing an account that does not include a financial product or service subject to the GLBA.

1. Notice at Collection of Personal Information
   1. Categories of Personal Information We Collect

We collect the categories of Personal Information identified in the following chart. We generally disclose these categories of Personal Information for business purposes to our service providers. As indicated in the chart, some of these categories we “sell” or “share” or use for “targeted advertising” (as such terms are defined in Applicable State Privacy Laws) with business partners and third parties, such as data analytics providers, marketing partners, advertising technology vendors, and third-party advertising networks.

We do not knowingly sell or share Personal Information about persons under the age of 18. Please click here to opt out of the sale or sharing of your Personal Information, including for targeted advertising. You may also choose to enable online, where available, a universal tool that automatically communicates your opt-out preferences, such as the Global Privacy Control (“GPC”). We will process the GPC signal as a request to opt-out. 

2. 2. Purposes for Collecting and Processing Personal Information

We collect and process your Personal Information for the following reasons:

• To provide you with our access to our Sites and Services.
• To process your payments and fulfill your requests.
• To create, maintain, customize, and secure your account with us.
• To communicate with you, such as through bots (which may be powered by third party vendors and be trained on your inputs through AI-based technology), including to respond to your inquiries/requests and request feedback from you, and to send you important updates and messages about changes to our Sites, this Notice, and/or other applicable terms and conditions.
• To review the usage and maintain the operation of our Sites and Services.
• To conduct analysis and develop and/or improve our Sites.
• To conduct research and consumer surveys to better understand the customer experience and enhance our Sites and Services.
• To monitor, protect, and maintain the security and integrity of our Sites and our business, such as protecting against and preventing fraud, unauthorized transactions, claims and other liabilities.
• To comply with applicable laws and regulations and respond to lawful requests and communications from law enforcement and other government officials.
• To carry out sales and business transactions in which information held by us is among the assets transferred or is otherwise relevant to the evaluation, negotiation, or completion of the transaction.
• To protect our rights, privacy, safety, property and/or those of others.
• To fulfill any other purpose for which you provide your Personal Information or as explained to you at the point of information collection.
• To provide you or others with customized content or targeted offers, including targeted advertising.
• To send you information, newsletters, and marketing/promotional material from us and, or on behalf of, our marketing partners and affiliates.

3. 3. Retention

We will retain your Personal Information for as long as reasonably necessary to provide you with our Services that you request, for marketing purposes unless you opt out as described in this Notice or our Privacy Policy, or otherwise where permitted or required in accordance with applicable law. We will retain and use your Personal Information as necessary to comply with our legal obligations, resolve disputes, and enforce our agreements. What this means in practice will vary between different types of information, and when we consider our approach, we take into account ongoing business or legal needs for the information, for example in relation to tax, health and safety, and potential or actual disputes or investigations.

2. State Privacy Rights

Residents of states with Applicable State Privacy Laws may have the following rights with respect to their Personal Information, subject to certain exceptions. Applicable State Privacy Law exempts certain information from these rights and requests, including information governed by or subject to the federal GLBA. We reserve the right to honor requests only to the extent required by law.

• Right to Know: You may have the right to know what Personal Information we have collected about you, including the categories of Personal Information, the categories of sources from which the Personal Information is collected, the business or commercial purpose for collecting, selling, or sharing Personal Information, the categories of third parties to whom we disclose Personal Information, and the specific pieces of Personal Information we have collected about you.
• Right to Request List of Specific Third Parties. You may have the right to request a list of the specific third parties with which we have disclosed your Personal Information.
• Right to Delete: You may have the right to delete Personal Information that we have collected from you, subject to certain exceptions. Note that there are some reasons we will not be able to fully address your request, such as if we need to complete a transaction for you, to detect and protect against fraudulent and illegal activity, to exercise our rights, for our internal purposes, or to comply with a legal obligation.
• Right to Correct: You may have the right to correct inaccurate Personal Information that we may maintain about you, subject to appropriate verification.
• Right to Opt Out of Sale, Sharing, or Targeted Advertising: You may have the right to opt out of the “sale” or “sharing” of your Personal Information, including for targeted advertising (as these terms are defined under Applicable State Privacy Law).

In some jurisdictions, you may choose to enable a tool that automatically communicates your opt-out preferences to all businesses that you interact with online. If you enable a browser-based opt-out preference signal, such as the GPC, upon receipt or detection, we will treat the signal as a valid request to opt out of sale, sharing, or targeted advertising linked to that browser and, where we can do so, consumer profiles that we have associated with that browser. Please note that if you use different browsers or browser profiles, you will have to enable the signal on each one that you use. We will never ask you to verify your identity to exercise your right to opt out of the sale or sharing of your Personal Information.

To submit a request to know, delete, or correct your Personal Information, or access a specific list of third parties, please email us at compliance@allworthfinancial.com or contact us by phone at (844) 946-0514 . We will verify your identity when you submit one of these types of requests. We may request additional information from you, like your date of birth or a personal identification number, to verify your identity. Please note that, where permitted under applicable law, we may decline a request if we are unable to verify your identity (or an agent’s authority to make the request) and confirm the Personal Information we maintain relates to you.

You may have the right to appeal a decision we have made in connection with your privacy rights request. To appeal a decision, please contact us at compliance@allworthfinancial.com.

Depending on your state of residence, you may designate an authorized agent to make a privacy rights request on your behalf through the mechanisms indicated in this section. Authorized agents will need to demonstrate that you’ve authorized them to act on your behalf or must demonstrate they have power of attorney pursuant to applicable probate law. We retain the right to request confirmation directly from you confirming that the agent is authorized to make such a request, or to request additional information to confirm the agent’s identity. An authorized agent is prohibited from using a consumer’s Personal Information, or any information collected from or about the consumer, for any purpose other than to fulfill the consumer’s requests, for verification, or for fraud prevention.

If your request is manifestly unfounded or excessive, we may either charge a reasonable fee or refuse to act on the request in which case we will notify you of the reason for refusing the request.

Submitting a privacy request pursuant to this section does not require you to create an account with us. If you do have an account with us, you may also opt-out by logging into your account and managing your preferences in Account Settings. We will not discriminate against you for exercising these rights.

3. Changes to this Privacy Notice

We may update this Notice from time to time in response to changing legal, technical or business developments. When we update our Notice, we will post the updated version and change the “Last Updated” date above. If we make material changes to the Notice, we will notify you by temporarily noting “UPDATED” next to the Privacy Policy link in the footer of our Site or directly communicating with you via email or your account. Your use of the Site or any Services following revision to this Notice constitutes your agreement that all information collected from or about you after the revised notice is posted will be subject to the terms and conditions of the revised notice. Where required by applicable law, we will obtain your opt-in consent if we use Personal Information that we previously collected about you for a purpose that is materially different from the purposes we described in the version of our Notice applicable to you at the time we collected that Personal Information. 

E-mail Communication Policy

Confidentiality

• E-mail communication and any of its accompanying document(s) are confidential and privileged. They are intended for the sole use of the addressee. If you receive an e-mail transmission in error, you are advised that any disclosure, copying, distribution or the taking of any action in reliance upon the communication is strictly prohibited. If you received an e-mail in error, please contact our office at (800) 482-2196. Thank you.

Account Information

• Trading instructions sent via e-mail will not be honored. If you need to place a trade to buy or sell securities, please contact the main office at (800) 482-2196 and ask to speak with your financial planner.
• Please be advised that communications regarding trades in your account are for information purposes only. You should continue to rely on confirmations and statements received from the custodian(s) of your assets.

FINRA Public Disclosure Program

FINRA BrokerCheck is a free online tool to help investors check the professional background of current and former FINRA-registered securities firms and brokers. For questions regarding BrokerCheck, or to request an Investor Brochure, FINRA provides a toll-free hotline, (800) 289-9999, available Monday through Friday from 8 a.m. until 8 p.m., Eastern Time. This research tool can be found online at FINRA.