PRIVACY POLICY NOTICE

Our commitment to Your Privacy: Stock Securities LLC ("the Firm" or "Stock") has a longstanding policy of protecting the confidentiality and security of information we collect about clients as well as non-clients. Stock will not share nonpublic information about you ("Information") without your consent, except for specific purposes described below. This notice describes the Information Stock collects and the circumstances under which the Information may be shared.

Why Stock Securities Collects Information and How the Firm Uses the Information:  Stock limits the collection and use of Information to the minimum the Firm requires to provide superior service to you and to meet its recordkeeping requirements. Such service includes maintaining your relationship with the Firm, processing transactions requested by you and administering Firm business.

How Stock Securities Gathers Information: Stock gets most of its required Information directly from you when you apply for, access and use financial products and services offered by the Firm. The Firm may verify this Information or get additional Information from consumer reporting agencies or public sources. This Information may relate to your finances and employment, as well as transactions and interactions you have had with the Firm or others.

How Stock Securities Firm Protects Information: Stock employees are required to protect the confidentiality of Information and to comply with the Firm's established policies. Stock's employees may access Information only when there is an appropriate reason to do so such as to offer and administer the Firm's products or services. Stock also maintains physical, electronic and procedural safeguards to protect Information, which comply with all applicable laws. Employees who violate our Privacy Policy are subject to disciplinary actions.

Disclosure of Information: Stock may disclose any Information to others when the Firm believes it is necessary for the conduct of its business, or where law requires disclosure. For example, Information may be disclosed for audit or research purposes to attorneys or other professionals, or to law enforcement and regulatory agencies to help prevent fraud. In addition, the Firm may disclose Information to third-party service providers (i) to enable them to provide business services for or to Stock, such as performing computer related data maintenance or processing services for the Firm, (ii) to facilitate the processing of transactions requested by you, (iii), to assist Stock in offering products and services to you, or (iv) for credit review and reporting purposes. Except in those specific, limited situations where Stock does not have your prior consent, the Firm will not make any disclosures of Information about you to other companies who may sell your name to a catalog marketing company. It is Stock's policy to require all third parties that are to receive any Information about you to sign strictly enforceable confidentiality agreements.

Former Clients: Even if you are no longer a client of Stock, its Privacy Policy will continue to apply with respect to Information about you.

Access to and Correction of Information: If you desire to review any file the Firm may maintain that includes your personal Information, please contact the Firm. If you notify the Firm that any Information is incorrect, the Firm will review your request to correct the information. If the Firm agrees that the information should be corrected, it will correct its records. If Stock does not agree, you may submit a short statement of dispute, which the Firm will include in future disclosures of disputed Information. Information collected in connection with, or in anticipation of, any claim or legal proceeding will not be made available.

Further Information: Stock reserves the right to change this Privacy Policy. The examples contained within this Privacy Policy are illustrations only and not intended to be exclusive or fully inclusive. This Notice complies with Federal Law and SEC regulations regarding individual privacy. You may have additional rights under foreign or other domestic laws that may apply to you.