Privacy Policy

IMPORTANT PRIVACY CHOICES

Cambridge Investment Reasearch, Inc. firmly believes that it is of utmost importance to not only protect private customer information in a secure environment, but also, to foster our customers’ trust. Therefore we would like to explain how we guard your private information. In doing so we are also ensuring compliance with Regulation S-P adopted by the Securities and Exchange Commission. Please take a moment to review the following information concerning our privacy policy, and feel free to call our Compliance Department at (800)-777-6080 if you have any questions or concerns. We are committed to our efforts to service our customers, and we value the trust that you have placed in Cambridge as your broker-dealer.

THE INFORMATION WE COLLECT ABOUT YOU

In order to service your account, it is necessary that we collect nonpublic, personal information. Such information includes, but is not restricted to, information from consumer reporting agencies and information services (to check credit history and to confirm identity), from forms and applications (including items such as Social Security number, phone number, name, income, and assets), and from the transaction history on your account (checking items such as balances and trading history).

OUR PRIVACY POLICY

Cambridge will not disclose nonpublic, personal information about our customers (and former customers) except as required by law and regulation. Provided it is necessary to effect, administer, or enforce certain transactions related to a customer account, we may disclose such information to our clearing firms and other providers of securities products (such as third-party vendors of advisory services and issuers of securities). We will not disclose or utilize private information for any purpose other than the purpose for which you originally disclosed the information to us. Many of our customers enjoy close relationships with their representatives, and in most cases these relationships take precedence over the customers’ relationship with the broker-dealer. In the event that your financial advisor leaves Cambridge, we assume that you would want your financial advisor to take your information with him or her to the new broker-dealer in order to service your account. If that is your choice, you must provide written permission to your financial advisor. However, if you would prefer that your information be kept at Cambridge and not taken with your financial advisor to the new broker-dealer, you are welcome to call our Compliance Department at (800)-777-6080 with any questions or concerns. Thank you again for placing your trust in Cambridge, and we appreciate the opportunity to service your account.