Privacy Policy

An important notice concerning your privacy

Dear Client, 

At Field Financial Group ("Field Financial"), maintaining trust and confidence is a high priority. We understand that privacy is an important issue for our valued clients, as well as visitors to our websites. Whether you are a client of Field Financial. or a visitor browsing our websites, we want you to understand how we work to protect your privacy in the event we collect and use information about you, and the steps we take to safeguard that information. SECURITY PROCEDURES: Field Financial restricts access to Client Information about you to: • Those of our employees and affiliates who need to know that information in order to provide the products and services you receive from us. • Those unaffiliated third parties whose access to such information is permitted by law and who need to know that information in order to assist us in providing you with the products. ang services you receive fromus, To protect the security of Client ln formation. we maintain physical. electronic. and procedural safeguards that comply with federal standards for guarding the information we collect about you. INFORMATION WE COLLECT: In providing you with financial products and services. or information about such services. Field Financial may collect the following types ofClienj jnformation: • Information we receive from Ironbeam, Inc. (if applicable) or from you on account applications. whether written or electronic, or on other forms (including on-line forms). This information would include your name. address. social security number. income, investment experience, and so forth. • Information about your transactions with us, our affiliates. or others. This information could include your trading through us. our affiliates and others. your history of meeting margin calls. and your use of the various products and services that we and our affiliates provide. • Information about your creditworthiness. credit history. and other information about you that we receive from consumer reporting agencies, our affiliates, Ironbeam, Inc. (if applicable). or providers of other demographic information, such as your purchasing or investment preferences. • Information about you obtained in connection with our efforts to protect against fraud or unauthorized use of your account(s) with us. INFOR1'vIATION WE DISCLO!)'E: At the present time, Field Financial does not disclose any Client Information except as permitted by law. We. however. reserve the right to disclose Client Information in the future to unaffiliated third parties. We will make these disclosures in order to provide you with access to products or services we think may be of interest to you. In addition. upon receiving your consent. we will disclose your Client Information to unaffiliated third parties. CATEGORIES OF PARTIES TO WHICH WE JlIIAYDISCLOSE: field Financial may disclose the types of Client Information listed above (see INFORiHA TION WE COLLECn to the following types of third parties: • Companies that perform marketing services on our behalf or to other financial institutions with which we have joint marketing agreements. • Financial service providers. such as introducing brokers, broker-dealers, futures commission merchants, investment companies. investment advisers. commodity trading advisors. and commodity pool operators. • Publishers and other direct marketers of products related to the financial services industry, such as newsletter or book publishers and software or trading system developers. • We may also disclose Client Information to other nonaffiliated third parties as permitted by law, such as in response to a subpoena or legal process or in order to complete a transaction which you initiated and authorized. If you prefer that we not disclose your Client Information to unaffiliated third parties, you may opt out of those disclosures. That is. you may direct us not to make those disclosures (other than disclosures permitted by law). You, however. may not opt out of Client Information disclosed about you to your Introducing Broker (if applicable), or any service provider necessary to effect or process any transaction in your account(s) with us (if applicable). If you wish to opt out of disclosure to nonaffiliated third parties. you may: • Complete the Opt Out Form included with this letter and mail it to: FIELD FINANCIAL GROUP OPT OUT RIGHT TO OPT OUT OF INFORMATION SHARING: 838 Shinn Point Rd, Wilmington, NC 28409 OR • Email lIs at ffg@tieldfinancial.com. stating that you wish to opt out of all information sharing of your Client Information. JOINT ACCOUNT/PARTNERSHIP PROCEDURES: In the event you have a Field Financial account. and if your account(s) with us is for joint tenants with rights of survivorship. tenants in common. or a general partnership, ..any one party may elect to opt out of fthe account. That opt out election will bind all parties to the account, ONLINE SER VICES: To better serve you. our products and services are described. and in many cases. available through our website www.fieldfinancial.com and so on. When accessing these websites, please read the Privacy Statement that appears there. Our website Privacy Statement provides important information relating to your use of the website. including information regarding our use of "cookies" and the types of information we collect when you access our website. If you register for our online products or services. we retain your user ID and password and other information about your use of our wcbsites in order that we may recognize you as a registered user. We may obtain your ernail address from you or from another source. We may send you email offers fix our as well as our affiliates' products and services. We may also send you ernails for third party products and services we think may be of interest to you. All ernail offers we send to you include an opportunity to opt out from future ernail offers. If you opt out from receiving crnail offers, we may still send (via ernail or otherwise) important information about your account(s) with us (ifapplicable) and our products and services. OPT OUT NOTICE Opt Out Procedure: In order to opt out of Field Financial's future information sharing. please complete and return this notice within 30 days of your receipt ofthis Privacy Policy & Opt Out Notice to: FIELD FINANCIAL GROUP OPT OUT 838 Shinn Point Rd, Wilmington, NC 28409 Please do not share any nonpublic client information about me with unaffiliated third parties. I understand that you may still share this information with Ironbeam, Inc. . and any service provider necessary to effect or process any transaction in my accounus), or as otherwise permitted by law. Account Number(s): Signature(s): Date: You may also opt out of Field Financial's information sharing by sending an email to ffg@fieldfinancial.com. stating that you wish to opt out of information sharing. Account Name(s): ------ ._------_ .._----- If you opt out, you may not receive offers for goods and services that may be of value to you. Please be advised that if you have previously submitted all OPT OUT NOTICE, it will not be necessary for you to submit another one.

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