PRIVACY PRACTICES NOTICE
You do not need to take any action as a result of this notice, but you do have certain rights as described below.
INFORMATION WE MAY COLLECT AND USE
We collect information about you, which we may share now or in the future. We do this to help us identify you as our customer or our former customer, to process your transactions and requests quickly, to provide investment services to you or tell you about products or services we believe you may want and use.
Information we collect includes:
• Information from you – When submitting your application, or new account form, you may give us information such as your name, address, Social Security number, financial, and employment history.
• Information about your transactions – We may keep information about your transactions with our company.
We do not collect medical or health information in connection with securities business.
HOW WE TREAT YOUR INFORMATION
MPI Securities may share the information described above with our service providers. These providers may require access to information about you to process or service transactions you have requested, to provide efficient customer services, or to inform you of our products or services you may find useful. Our service providers may be affiliated or unaffiliated, and may include financial service providers (for example, third party administrators, broker-dealers, insurance agents and brokers, registered representatives, companies that perform marketing services on our behalf, reinsurers, other financial institutions with whom we have joint marketing agreements) or non-financial companies and individuals. Please be assured that we require these service providers to safeguard your personal information and to use or disclose it only for the work they are performing on our behalf, or as permitted by law.
We may provide information to regulatory authorities and law enforcement officials in accordance with applicable law, or to others when we believe in good faith that the law requires it. In the event of a sale of all or part of one of our businesses, we may share customer information related to that business as part of the transaction. Unlike many other financial institutions, MPI Securities does not sell or share your information with marketers outside our company who may want to offer you their own products and services.
Neither do we share information we receive about you from a consumer-reporting agency. You do not need to take any action for this benefit.
SECURITY OF INFORMATION
Keeping your information secure is one of our most important responsibilities. We maintain physical, electronic and procedural safeguards to protect your information. Employees are authorized to access your information only when they need it to provide you with products and services.
MAKING SURE INFORMATION IS ACCURATE
We want to make sure that we have accurate information about you. Generally, upon written request, we will make your personal information available for your review. Information we have collected in connection with or in anticipation of a claim or legal proceeding will not be made available. If you believe that any of our records are inaccurate, you may notify us in writing of any corrections, amendments or deletions that you believe should be made.
Questions about accessing or correcting your personal information or any complaints should be directed to MPI Securities, Inc. Attn: Chief Compliance Officer, 101 Poor Farm Road, Princeton, NJ 08540 or (609) 924-4200. Please describe the information you wish to see, corrections required or the nature of your complaint. A copy of our business continuity plan summary is available on our website, www.mpisecurities.com or by contacting the Chief Compliance Officer at the address above.