At Broadpoint Securities Group, Inc., we respect every individual's right to privacy because our relationship with you is our most valuable asset. Broadpoint, and the entire securities industry, goes to great lengths to protect the privacy of our customers. We have a long established tradition of discretion for our customers personal privacy which we reinforce and demonstrate daily in the way we routinely handle sensitive client information in our day-to-day operations.

The Gramm-Leach-Bliley Financial Services Modernization Act ("Gramm-Leach") requires all financial institutions to clearly, conspicuously and annually disclose to consumers and customers our policies for collecting and sharing nonpublic personal information. The following sets forth the privacy policy for Broadpoint Securities Group, Inc. and its subsidiaries. We will only share personal information with others as stated in this policy, unless we ask your permission or give you additional notice.

Information Collected
When you establish a relationship with Broadpoint Securities Group or its subsidiaries, you complete certain account documentation which collects personal information, including the following: name, address, telephone number, social security number, income, assets, liabilities and investment experience. In addition, consistent with industry practice and in compliance with regulatory requirements, we record and maintain information on your transactions with us and others as well as your correspondence with us. We are required by our regulators to collect this type of information.

What We Disclose
This information is collected strictly for the purpose of providing you better service and we strive to limit the collection and use of your personal information to only what is necessary. In connection with services you have requested, we may share your personal information, including your name, address, telephone number, social security number, income, assets, liabilities and investment experience with our affiliates or with outside vendors who have been hired to help us serve you better. Our affiliates have adopted the same privacy policies as Broadpoint and, therefore, your information will remain protected. The outside vendors with whom we may share your personal information have agreed to conform to our privacy standards. We do, however, reserve the right to disclose the personal information of existing and former customers as permitted by law.

Safeguards
We maintain physical, electronic and procedural safeguards that comply with regulatory standards to guard your nonpublic personal information.

Please Help Us Maintain Accurate Records
Our efforts to maintain the privacy of your personal financial information are always evolving. If you have any questions or concerns regarding this policy, please contact Retail Sales & Support Services at 518.447.8228. In addition, it is important to us that we have accurate information about you. If you are a customer and have a concern about your personal or account information or you want to correct, update or confirm your information, please contact us.

By phone: 877.977.7283 (8:30am - 5pm EST M-F)
By email: retailsupport@fac.com