Privacy Policy

Privacy of Personal Financial Information
Conifer Securities has a strict policy of protecting the confidentiality and security of information we collect about our clients. Generally, except as required to provide services to you or as permitted by law, we do not share information about our managers outside of Conifer Securities and will not do so without our client’s consent. Below you will find details of our privacy policy.

Obtaining Personal Information
In establishing a brokerage account with Conifer Securities, we obtain certain personal information about you which allows us to provide you with brokerage and related services. Generally we obtain information from the following sources:

Information we receive from you on applications, new account forms or other forms, such as your telephone number, home address, employment and financial information;

Information about your securities transactions, balances and history from our own records or from third parties such as clearing firms or advisers that may be providing services to you; and

Information we receive about you from consumer-reporting agencies.

Sharing Personal Information
In certain limited circumstances, we reserve the right to disclose your non-public personal information to third parties, including:

To help us administer your account (i.e., when you or we establish, maintain or terminate business relationships relating to you or your account and third party service providers, such as other broker-dealers, investment advisers or account custodians);

When we process your transactions, such as by sending transaction information to our clearing firm or another broker-dealer

When we use third parties to provide services for us relating to you or your account, such as a third party that prints your account statements; or

If disclosure is required by or permitted by law, including a response to a subpoena, court order or regulatory demand.

We do not share your non-public personal information with third parties for marketing or other purposes unrelated to providing services to you and your account. If you decide to close your account with Conifer Securities, or become an inactive customer, we will continue to follow our privacy policy with respect to your personal information.

Limiting the Sharing of Information
Conifer Securities reserves the right to disclose your non-public personal information with third parties as is necessary for us to provide services to you and as otherwise permitted or required by law. You may elect, however, to limit the information we share about you to third parties by instructing us not to share non-public personal information about you with any non-affiliated third party that may utilize the information other than to carry out the purposes for which Conifer Securities has disclosed the information. You may exercise this option by calling us at: (800) 521-2424.

Safeguarding Information
Conifer Securities restricts access to your personal and account information to those employees who need to know that information to provide services to you. Conifer Securities maintains physical, electronic, and procedural safeguards to guard your non-public personal information.

Should you have any questions regarding this privacy policy, please contact your Conifer Securities representative.