Privacy Policy

At GunnAllen Financial Inc., protecting your privacy and safeguarding your personal information is very important to us. Through our network of registered representatives, we distribute a variety of financial products and services to you. We have always valued the trust our customers have placed in us and are committed to the confidentiality and protection of our customers' personal information. For more information please review our privacy policy below.

Information that we collect

GunnAllen Financial Inc. collects personal information about you to help us serve your financial needs, process transactions in your account(s), provide customer service, offer new products or services, and fulfill compliance and regulatory requirements.

GunnAllen Financial Inc. collects nonpublic, personal information from you as well as from other sources. The sources and the information collected may include:

• Information you provide to us, to our affiliated entities, or to your registered representative on applications and related forms, through discussions with our customer service staff, or on our Web site, such as address, social security number, birth date, net worth, assets, income, and medical information, if applying for insurance
• Information regarding your transaction history with us, such as products or services purchased, account balances, trading history, and payment history, as well as information from information service companies and consumer reporting agencies, such as your transactions or credit relationships with unaffiliated third parties
• Information from other unaffiliated third parties, including employers, associations, benefit plan sponsors, and other institutions. If you transfer positions or funds to GunnAllen Financial Inc., such as address, social security number, net worth, assets, and income

Sharing information

We may disclose any of the nonpublic, personal information that we collect about you as required to conduct our business and as permitted or required by law. We may share information about our customers with our affiliated investment advisor and/or with unaffiliated financial or non-financial services providers, such as insurance companies, mutual fund companies, banks, investment firms, third-party administrators, clearing firms, and other third parties who assist in providing account maintenance or customer service to your account(s). We also may share your information with regulators and law enforcement organizations, or in response to a subpoena or discovery request, as permitted or required by law.

We do not sell, share, or disclose your nonpublic, personal information to unaffiliated third-party marketing companies. If the representative servicing your account(s) leaves GunnAllen Financial Inc. to join another broker/dealer, the representative may retain copies of your personal information so that he or she can continue to serve you at the new firm. In doing so, your representative may share your information with the new firm, but is otherwise required to keep confidential the personal information obtained from you while the representative was affiliated with GunnAllen Financial Inc., and he or she may only use it to service your account(s).

Opting-out

If you live in any other state (i.e., an "opt-out" state) and do not want your representative to take your information with him or her, should your representative decide to leave GunnAllen Financial Inc. in the future, you have the right to opt-out of such disclosure. If you have a joint account, we will treat an opt-out direction by a joint customer as applying to all associated joint customers. If you wish to opt-out, now or at any time in the future, please contact our Compliance Department at (800) 713-4046. You may also contact us by mail at GunnAllen Financial Inc. Attention: Compliance Department, 5002 West Waters Avenue, Tampa, Florida 33634.

Safeguarding privacy

GunnAllen Financial Inc. recognizes the need to prevent unauthorized access to the information we collect, including information held in electronic format. GunnAllen Financial Inc. authorizes access to your nonpublic, personal information only to personnel who need that information to serve you. We maintain physical, electronic, and procedural safeguards regarding your nonpublic, personal information to ensure that we comply with our own policy, industry practices, and federal and state regulations. If you decide to close your account(s), or become an inactive customer, we will adhere to the privacy policies and practices as described in this notice.

Verifying and ensuring the accuracy of your personal information

Always review all documents that GunnAllen Financial sends you to ensure that your personal information is correct. If you ever discover an error in your personal information, please contact your representative immediately to correct the error.

Questions

This Privacy Policy automatically applies to all of our customers and former customers. If you have any questions after reading this privacy policy, you can write to GunnAllen Financial Inc., Attention: Compliance Department, 5002 West Waters Avenue, Tampa, Florida 33634 or call (800) 713-4046.