PK Securities, Inc. understands the importance of maintaining the confidentiality of our customers’ nonpublic personal information. In order to provide financial products and services to our customers efficiently and accurately, we may collect nonpublic personal information about our customers from the following sources: (1) information we receive from account documentation, including applications or other forms (which may include information such as a customer’s name, address, tax identification number/social security number, assets and income); and (2) information about our customers’ transactions with us, our affiliates and others (including information such as a customer’s account balances and account activity).

It is our policy not to disclose nonpublic personal information about our customers (or former customers) except to our affiliates, or to others as permitted or required by law. From time to time, PK Securities may disclose nonpublic personal information that we collect about our customers (or former customers), as described above, to non-affiliated third party providers, including those that perform processing or servicing functions and those that provide marketing services for us or on our behalf pursuant to a joint marketing agreement that requires the third party provider to adhere to PK Securities’ privacy policy. We have policies and procedures to safeguard nonpublic personal information about our customers (or former customers) which include (1) restricting access to such nonpublic personal information; and (2) maintaining physical, electronic and procedural safeguards that comply with Federal standards to safeguard such nonpublic personal information.