Privacy Notice

ProEquities, Inc.

As of December 15, 2012

Protecting the privacy of information about our customers is important to ProEquities. This notice tells you how we treat information about our current and former customers.

Security of Information

We do not sell information about our customers. We maintain physical, electronic and procedural safeguards to protect it. Access to it is limited to employees and third parties who are authorized by us and need to know it to provide you with the products and services you have requested or to help us conduct our business. All employees and registered representatives are required to follow our privacy procedures.

How We Get Information

We get most of the information we need from New Account Forms and other customer applications and forms. If a customer authorizes it, we may get information from others (such as a credit reporting agency). We also get information as we process customer transactions.

The Types of Information We Collect

The types of information we may collect include:

• Name
• Address
• Telephone Number
• Demographic Data

FINANCIAL INFORMATION (other than customer information) such as
• Income
• Assets
• Investments
• Credit History

HEALTH INFORMATION such as your medical history.
We collect health information in only limited circumstances, such as applications for variable universal life insurance.

How We Use Your Information

We use the information we collect for business purposes, such as
• processing applications and transactions,
• servicing your business, and
• offering you other products and services.

Limited Sharing of Your Information

We share the information with others who provide services to help us process or administer your business. For example, we may share information with

  • a clearing firm, for processing of securities transactions,
  • third party money managers, and
  • insurance and mutual fund companies.

We require our service providers to limit their use of the information and keep it confidential.

We will share customer, financial or health information with anyone outside of ProEquities only

  • if we have the customer’s permission, or
  • if we are permitted or required by law to disclose it. (For example, we are permitted to share information with a service provider, and required to share information in response to a subpoena or an audit by a regulatory agency.)

Your Registered Representative

Most of your contact with us will be through a “broker”, “agent”, or “financial advisor” who is one of our registered representatives. Our registered representatives are independent business owners (or work for an independent business). We serve as their broker/dealer to process securities transactions. If your registered representative wants to change broker/dealers, he or she (or ProEquities) may provide your name, address, telephone number and financial information (but not your health information) to the other broker/dealer before our registered representative joins the other broker/dealer, in order to facilitate the transfer of your account and the processing of your business. Once your registered representative has joined the other broker/dealer, he or she may keep copies of all of your information and disclose it to the new broker/dealer. If, at any time, you do not want us or your registered representative to disclose or keep this information for this purpose, please call our Customer Service Department at 1-800-288-3035 and let us know.

Changes to Our Privacy Policy

If we make a material change to our privacy policy, we will notify you before we put it into effect.

ProEquities background check by Broker Check - FINRA