NOTICE OF PRIVACY POLICY

FACTS WHAT DOES WUNDERLICH SECURITIES DO WITH YOUR PERSONAL INFORMATION? 
Why? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.
What? The types of personal information we collect and share depend on the product or service you have with us. This information can include:
  - Social Security number and employment information
  - Credit history and credit score
  - Account balances and account transactions
How? All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers’ personal information; the reasons Wunderlich Securities chooses to share; and whether you can limit this sharing. 
Reasons we can share your personal information Does Wunderlich share? Can you limit this sharing? 
For our everyday business purposes — such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes 
No 
For our marketing purposes — to offer our products and services to you Yes No
For joint marketing with other financial companies No 
We Do Not Share
For our affiliates’ everyday business purposes – information about your transactions and experiences Yes 
No
For our affiliates’ everyday business purposes – information about your creditworthiness No
We Do Not Share
For our affiliates to market to you No  We Do Not Share 
For non-affiliates to market to you No We Do Not Share
Questions:  Call 800-726-0557 or Contact Us.
If you are a new customer, we can begin sharing your information 30 days from the date we sent this notice. When you are no longer our customer, we continue to share your information as described in this notice. However, you can contact us at any time to limit our sharing.
What we do
How does Wunderlich protect my personal information? To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. For more information, please visit https://www.wellsfargoclearingservicesllc.com/disclosures/privacy-statement.htm
How does Wunderlich collect my personal information? We collect your personal information, for example, when you:
  - Open an account
  - Apply for insurance
  - Seek advice about your investments
  - Enter into an investment advisory account
  - Tell us about your investment or retirement portfolio
We may also collect your personal information from others, such as credit bureaus, affiliates or other companies.
Why can’t I limit all sharing? Federal law gives you the right to limit only:
  - Sharing for affiliates’ everyday business purposes — information about your creditworthiness
  - Affiliates from using your information to market to you
  - Sharing for non-affiliates to market to you State laws and individual companies may give you additional rights to limit sharing. See below for more on your rights under state law.
Definitions  
 Affiliates  Companies related by common ownership or control. They can be financial and non-financial companies.
 Non-Affiliates  Companies not related by common ownership or control. They can be financial and non-financial companies. Wunderlich Securities does not share with non-affiliates so they can market to you.
 Joint marketing  A formal agreement between nonaffiliated financial companies that together market financial products or services to you. Wunderlich Securities does not jointly market.
Important Information 
Vermont residents: We automatically treat customers with a Vermont mailing address as having limited sharing with affiliates. In response to a Vermont regulation, if we disclose personal information about you to non-affiliated third parties with whom we have joint marketing agreements, we will only disclose your name, address, other contact information, and information about our transactions or experiences with you.
California residents: In response to California law, we automatically treat accounts with California billing addresses as if you do not want to disclose personal information about you to non-affiliated third parties except as permitted by the applicable California law.
Nevada residents: We are providing you this notice pursuant to state law. You may be placed on our internal Do Not Call List by contacting 800-726-0557, by contacting the branch office that services your account and speaking to the branch office manager, by writing to the home office at 6000 Poplar Avenue, Memphis, TN 38119, or by contacting the Bureau of Consumer Protection, Office of the Nevada Attorney General, 555 E. Washington St., Suite 3900, Las Vegas, NV 89101; 702-486-3132; BCPINFO@ag.state.nv.us.
Trust or fiduciary accounts: Trust or fiduciary accounts, including employer-sponsored retirement accounts, are protected under special rules of confidentiality. Information on these accounts is not shared for marketing purposes without specific consent.
Wunderlich financial advisors: If your financial advisor's affiliation with Wunderlich ends and they join a non-affiliated securities broker-dealer, your financial advisor may be permitted to use limited information to contact you to join their new firm, as a usual means to continue to service and maintain your accounts. The information they may use is limited to your name, address, email address, phone number, and account title.