Privacy Policy

NOTICE OF PRIVACY PRACTICES | July 2012

Stacey Braun Associates, Inc. is committed to maintaining customer confidentiality. Title V of the Gramm-Leach-Bailey Act of 1999 and the Securities and Exchange Commission’s Regulations S-P (17 C.F.R. Part 248, effective 7-1-2001) require that we provide our customers with a notice explaining how we treat nonpublic personal information. We appreciate this opportunity to clarity our privacy practices for you as a result of this law.

Categories of Information We Collect: As part of our business, we obtain certain “nonpublic personal information” about you, which for ease of reading we will refer to as “Customer Information” in this notice. Customer Information includes, but is not limited to your name, address, telephone numbers, social security number, tax identification number (if any), financial circumstances, income and account holdings. We collect Customer Information about you from the following sources: information we receive from you included on applications or other forms; written or electronic correspondence, and telephone contacts with us; information about your transactions with us or others; and other information made available from a third party.

Confidentiality and Security of Customer Information: We restrict access to Customer Information to authorized individuals who need to know this information to provide services to you. We maintain physical, electronic, and procedural safeguards that comply with federal and state standards to protect your Customer Information.

Categories of Information We Disclose: We do not disclose Customer Information about you to anyone, except as permitted or required by law. We may, for example, share information with non affiliated third parties at your direction or in order to service your account or process transactions for you.

Former Customers: If you are no longer a customer of Stacey Braun, we will continue to treat all nonpublic personal information about you as set forth in this Notice.

We are committed to serve your interest only and consider your confidence as a crucial part of fulfilling our fiduciary duty.

You do not need to call or do anything as a result of this notice. It is meant to inform you of how we safeguard your Customer Information. You may wish to file this notice with your important papers.