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RULE 606. PRIVACY PLEDGE.
PRIVACY PLEDGE

At Dawson James Securities, your privacy is our priority.

We protect the security and confidentiality of your personal information.

Our most important asset is our relationship with you. We understand that you have entrusted us with your private financial information, and we do everything we can to maintain that trust. The Dawson James Securities privacy pledge applies to clients who are current or former brokerage clients or who register for one of our services. Throughout the policy, we refer to information that personally identifies you or your accounts as "personal information."

1. We do not sell your personal information to anyone.

2. Dawson James Securities only shares personal information with third parties in the following limited circumstances:

We disclose personal information to companies that help us process transactions for your account, for example, executing your trades at an exchange. Sometimes we enter into contracts with third parties so that they can assist us in servicing your account, for example, companies that print and mail your account statements and inserts. The contracts prohibit them from using any of your personal information for their own purposes, and the third parties are required to maintain the confidentiality of the information we have provided to them. We may also enter into what is called a "joint marketing relationship" with another financial institution, if we believe that you might be interested in hearing about its products or services. If we do, we have contracts in place to ensure that the other financial institution will protect the confidentiality of the limited information we would share with it (e.g., name and address), and that it will use your information only for the joint marketing arrangement. We may disclose or report personal information in limited circumstances where we believe in good faith that disclosure is required or permitted under law. For example, we may be required to disclose personal information to cooperate with regulators or law enforcement authorities, resolve consumer disputes, perform credit/authentication checks, or for institutional risk control.

3. We collect personal information in the normal course of business in order to administer your accounts and serve you better.

Application and registration information. We collect information that you provide to us when you open an account or register for one of our services, such as online or branch seminars. The information we collect may include name, address, phone number, email address, social security number, and information about your interests, investments, and investment experience. We also may collect information from consumer reporting agencies to verify your identity in the account opening process or if you apply for a margin account.
Web site usage. We collect some information on our Web sites through the use of "cookies." For example, we may identify the pages on our Web sites that your browser requests or visits. This information is only personally identifiable if you have chosen to identify yourself.

Transaction information. Once you have an account with us, to administer your account and better serve you, we collect and maintain personal information about your transactions, including balances, positions, and history. As part of our efforts to reach and serve new and existing clients we sometimes collect and use information from outside mailing lists.

4. We use your personal information to help us deliver the best possible service to you.
To understand your financial needs and to deliver financial products and services that meet them, we may share personal information, based solely on your transactions and experiences with us (such as the types of accounts you have), with affiliates, all of which follow similar privacy policies.

5. We protect the confidentiality and security of your personal information.

Companies we hire to provide support services are not allowed to use your personal information for their own purposes and are contractually obligated to maintain strict confidentiality. We limit their use of your personal information to the performance of the specific service we have requested. We restrict access to personal information to our employees and agents for business purposes only. All employees are trained and required to safeguard such information. We maintain physical, electronic, and procedural safeguards to guard your personal information.

6. We continue to evaluate our efforts to protect personal information and make every effort to keep your personal information accurate and up to date.

If you identify any inaccuracy in your personal information, or you need to make a change to that information, please contact us so that we may promptly update our records.

7. We will provide notice of changes in our information-sharing practices.

If, at any time in the future, it is necessary to disclose any of your personal information in a way that is inconsistent with this policy, we will give you advance notice of the proposed change so that you will have the opportunity to opt-out of such disclosure.
 

 

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