Privacy Notice

Purshe Kaplan Sterling Investments (“PKS”) does not share information about you except as permitted or required by law. PKS collects information about you from the following sources: information we collect from you directly on applications and other forms; information about your transactions with PKS and/or PKS affiliates or others; and information from consumer-reporting agencies. We call this information nonpublic personal information.

PKS will not share nonpublic personal information about you with any affiliated company of PKS without your permission. PKS will not share nonpublic personal information about you with any nonaffiliated third party without your express direction, other than service providers or other third parties that aid in fulfilling a service requested by you or as otherwise required by law.

In the course of providing brokerage services to you, PKS provides nonpublic personal information to National Financial Services LLC (“NFS”). A link to NFS’ privacy policy is provided below.

PKS restricts access to nonpublic personal information about you to those employees who need to know that information to provide products or services to you. We maintain physical, electronic and procedural safeguards that comply with federal standards to guard your nonpublic personal information.

SEC Regulation S-P (effective July 1, 2001), requires brokerage firms to provide prior notification of any information distribution, and grants consumers the right to “opt out” of any proposed information distributing relationship. Opting out means telling PKS not to use or share information with third parties. As noted above, PKS has automatically opted you out of sharing your personal information with affiliated companies as well as unaffiliated third parties other than service providers or other third parties that aid in fulfilling a service requested by you.

The Registered Representative/Investment Executive who services your account may possess nonpublic personal information we gather about you. In the event that your Registered Representative should leave PKS and join another investment firm, PKS permits him/her to supply your nonpublic personal information to the new firm for the sole purpose of soliciting the transfer of your account(s) to that investment firm. You may opt out and tell PKS that you do not wish PKS to permit your Registered Representative to share your information with any other investment firm, by mailing a request to opt out to the PKS Compliance Department, 18 Corporate Woods Blvd., Albany, New York, or faxing a request to opt out to the PKS Compliance Department at (518) 935-2309. You may also opt out by telephoning the PKS Compliance Department at (518) 436-3536 or (800) 801-6851. If you have more than one account, opting out will affect all of your accounts. Any person having a joint account that opts out does so for all holders of the joint account.

If you have any questions concerning the PKS Privacy Policy, you should contact the PKS Compliance Department.

National Financial Services, LLC Privacy Statement