NewEdge Securities, as your broker-dealer, is committed to protecting your privacy and maintaining the confidentiality and security of your personal information.

We do not disclose nonpublic personal information about our present or former clients/investors to third parties other than as described below:

We collect information about you (such as your name, address, social security number, assets and income) from our discussions with you, from documents that you may deliver to us and in the course of providing services for you. We may use this information to provide services to you, to open an account for you, to process a transaction for your account, or otherwise in furtherance of our business. In order to service your account and effect your transactions, we may provide your personal information to our affiliates and to firms that assist us in servicing your account and have a need for such information, such as a broker or fund administrator or financial advisor. We may also disclose such information to service providers and to financial institutions with whom we have joint marketing arrangements, but we require them to protect the confidentiality of your information and to use the information only for the purposes for which we disclose it to them. We do not otherwise provide information about you to outside firms, organizations or individuals, except to our attorneys, accountants and auditors and as permitted by law.

We restrict access to nonpublic personal information about you to internal personnel and affiliates who need to know the information to perform their job responsibilities and to conduct and process your business in an accurate and efficient manner. We maintain physical, electronic and procedural safeguards that comply with federal standards in order to protect your personal information.

California residents only: Your non-public personal information will not be shared with non-affiliated third parties. Please note that this does not apply if we need to disclose the information to effect, service, administer or process a transaction, product or service you have authorized or requested; to protect against fraud, liability or damages to property; to respond to judicial process; in connection with settling a transaction; or as otherwise permitted by law.