Privacy Policy

At our Firm our customers’ trust is our top priority. The confidentiality of their personal financial information is of paramount importance to all of us, and we will remain vigilant in protecting their privacy. This privacy notice is provided to help customers understand how we use private financial information, and to let them know what we do to help protect their privacy.

What Information Do We Collect from Customers?

To serve your needs, the Firm collects information from you and about you. Some of this information is collected to satisfy certain legal and regulatory requirements, while other information is collected so that we can service your account effectively. Examples of the information that we collect includes:

• Information from your account application and other forms, such as name, address, Social Security number, telephone number, employment information, income, net worth, investment experience, and other information to service your account effectively. We may also collect information from consumer reporting agencies.

• Information about your financial transactions, including securities purchased and sold, fund transfers, account balances, and other account activities.

To Whom Do We Disclose Customer Information?

The Firm does not sell our customers’ personal financial information to anyone. However, we do disclose personal information to third parties or outside companies that help us process our customers’ transactions or service their account. One such company is the clearing firm which processes transactions and acts as the account custodian. We may also provide information to outside service providers that help administer customer accounts. Any outside company or third-party provider must limit their use of customer information to the purpose for which it was provided.

The Firm may also provide a customer’s personal information when permitted or required by law or regulation. Examples include providing information in response to a subpoena or court order, to cooperate with regulators, governmental authorities or law enforcement authorities, or in response to a request from a consumer reporting agency.

Outside of these circumstances, we will not provide a customer’s personal information to third parties unless they have specifically asked us to do so.

What Do We Do to Protect Our Customers’ Personal Information?

We restrict access of our customers’ personal financial information to personnel who require that information to service their business. All employees are trained regarding the policies and procedures encompassed by this privacy policy. We maintain physical, electronics and procedural safeguards to guard your personal information. This privacy policy applies to all of our current and former clients. If in the future this privacy policy needs to change for any reason, we will provide customers with written notification of the change, allowing them the opportunity to opt-out.

CONFIDENTIALITY PROCEDURES

Some procedures confidentiality include: for maintaining client

• Maintaining all paper files in a locked and secured area (within perimeters of the department or office);

• Limit access to computer files to only authorized persons with passwords to control access to the files;

• Associated Persons of affected offices/locations must refrain from discussing in public areas or with others outside of the department (including family members, friends, etc.) any activities that are not publicly known;

• Keep sensitive drafts that identify projects or clients confidential;

• Physical separation of employees of departments/locations with access to non-public information;

• Passwords are used to access the areas of the computer network reserved for non-public information; and

• Designated offices have their own facsimile machines to send and receive documents.

• Additional policies regarding protecting client information can be found under the Identity Theft Prevention heading in Section 19, Cybersecurity.

SMS Privacy Policy

When you opt into our SMS messaging service, you agree to the following terms regarding how we handle your data:

Information We Collect and How We Use It

We collect your mobile phone number and any information you provide when you sign up or respond to messages. This data is used to send you text messages like alerts or updates.

Data Sharing

Your SMS opt-in data will not be shared, sold, or rented to third parties for marketing purposes. Data may be shared with service providers, such as messaging platforms, solely for message delivery.

Data Security and Retention

Reasonable security measures are taken to protect your data. Your information is kept as long as you are subscribed and deleted thereafter unless legally required otherwise.

Your Choices and Rights (Opt-Out)

You can opt out by replying STOP. Reply HELP for assistance.

Changes and Contact

This policy may be updated, with material changes posted on our website. Contact arianna@feekenfinancial.com or (888) 833-3536 with questions.

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