Neither GunnAllen Financial nor its Registered Representatives are engaged in rendering legal, accounting or tax advice. If legal, accounting, or tax assistance is required, the services of a competent professional should be sought. The hiring of a professional is an important decision and should not be based upon advertising. Ask for written information stating qualifications, experience and firm association before making a decision.

Links to third-party sites are provided for your convenience. Such sites are not within our control and may not follow the same privacy, security, or accessibility standards as ours. The third-party is responsible for the content and availability of its sites, partners or advertisers.

The information provided on this site is not intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution or use would be contrary to law or regulation or which would subject GunnAllen Financial, Inc. or its affiliates to any registration requirement within such jurisdiction or country. GunnAllens' Financial Advisors may only conduct business with residents of States and/or jurisdictions for which they are properly registered. Therefore, a response to a request for information may be delayed. Neither the information, nor any opinion contained in this site constitutes a solicitation or offer by GunnAllen Financial, Inc. or its affiliates to buy or sell any securities, futures, options or other financial instruments or provide any investment advice or service.

Disclaimer of Warranty and Limitation of Liability The information on this site is provided "AS IS". GunnAllen Financial, Inc. does not warrant the accuracy of the materials provided herein, either expressed or implied, for any particular purpose and expressly disclaims any warranties of merchantability or fitness for a particular purpose. GunnAllen Financial, Inc. will not be responsible for any loss or damage that could result from interception by third parties of any information made available to you via this site. Although the information provided to you on this site is obtained or compiled from sources we believe to be reliable, GunnAllen Financial, Inc. cannot and does not guarantee the accuracy, validity, timeliness or completeness of any information or data made available to you for any particular purpose. Neither GunnAllen Financial, Inc., nor any of its affiliates, directors, officers or employees, nor any third party vendor will be liable or have any responsibility of any kind for any loss or damage that you incur in the event of any failure or interruption of this site, or resulting from the act or omission of any other party involved in making this site or the data contained therein available to you, or from any other cause relating to your access to, inability to access, or use of the site or these materials, whether or not the circumstances giving rise to such cause may have been within the control of GunnAllen Financial, Inc. or of any vendor providing software or services support. In no event will GunnAllen Financial, Inc. , its affiliates or any such parties be liable to you for any direct, special, indirect, consequential, incidental damages or any other damages of any kind even if GunnAllen Financial, Inc. or any other party have been advised of the possibility thereof.

GunnAllen Financial, Inc is a Registered Investment Advisor. Registered Representatives of GunnAllen Financial, Inc. may also be designated to provide advisory services as Investment Advisory Representatives (IAR). IARs may receive fees for advisory services which are separate from commissions received in connection with the purchase or sale of securities. Information about GunnAllen Financial, Inc. advisory services can be obtained by asking a GunnAllen representative for a copy of the disclosure brochure or form ADV Part II.

Should the viewer leave this site via a link contained herein, and view content that is not provided by GunnAllen Financial, Inc., the viewer does so at its own risk. The content to which you link will not have been developed, checked for accuracy, or otherwise reviewed by GunnAllen Financial, Inc.. GunnAllen Financial, Inc. is not responsible for damages or losses caused by any delays, defects or omissions that may exist in the services, information or other content provided in such site, whether actual, alleged, consequential or punitive. GunnAllen Financial, Inc. makes no guarantees or representations as to, and shall have no liability for, any electronic content delivered by any third party, including, without limitation, the accuracy, subject matter, quality or timeliness of any electronic content.

We value you as a customer and we take your privacy seriously. We are committed to maintaining the confidentiality of the information furnished by our clients. For that reason, we will inform you of our policies for collecting, using, securing, and sharing nonpublic personal information the first time we do business and every year after that you are our customer.

INFORMATION WE COLLECT

We collect Nonpublic Personal Information from you, including but not limited to:

• Your first and last name;
• Your home address or other physical address, including the street name and name of a city or town;
• Your e-mail address;
• Your telephone number;
• Your social security number;
• Any other identifier that permits us to physically contact you, or to contact you online;
• Salary and employment information;
• Lists of assets, financial statements, holdings reports, and investment records;
• Banking and insurance reports and records.

HOW WE COLLECT INFORMATION

We collect Nonpublic Personal Information about you from some or all of the following sources:

• Information we receive from you on new account applications, and other forms;
• Information we receive from you, in writing, electronically, through the telephone, or through our Web site, when you communicate with us, or request information about our products and services;
• Your transactions with us, our affiliates, and those product sponsors with whom we have selling agreements or other arrangements for the provision of services to you;
• Consumer reporting agencies;
• Affiliated and unaffiliated product sponsors with whom we have selling relationships and whose products you own.

INFORMATION THAT WE DISCLOSE

We disclose Nonpublic Personal Information to affiliates and unaffiliated third parties that provide services to us in order that we may more effectively and efficiently service your account. We may also disclose your Nonpublic Personal Information to affiliated or unaffiliated third parties with whom we have contractual relationships that allow us to provide the products or services that you have requested through us. Examples of third parties with whom we may share your Nonpublic Personal Information include:

• Mutual fund companies, insurance companies, and other product sponsors to effect purchases and sales and allow for the servicing of your accounts;
• The broker/dealer through whom we execute equity and fixed income security transactions;
• Clearing Agencies through whom we clear and settle securities transactions;
• Companies providing account performance and/or reporting services on your accounts;
• Third party investment advisory firms with whom we have relationships for the management of customer accounts;
• Companies that provide services to us to assist with the maintenance of required books and records, and facilitate mailings on our behalf;
• State, Federal, and other regulatory authorities, where required by law or regulation;
• Other companies, associations, agencies, third parties, and institutions that provide services to us in order that we may more effectively and efficiently service your account

INFORMATION ABOUT OUR WEB SITE

If you provide your name and address on our Web Site in order to request information about our products and services, you may voluntarily provide additional personal information such as your occupation, age, gender, income, marital status etc. This information will be used for evaluating your financial needs and for our marketing and or research and development purposes. We will not transfer this personal information to any non-GunnAllen Financial, Inc. entity for commercial purposes. You may be contacted by a GunnAllen Financial, Inc. registered representative to follow-up on your interest in our products and services.

STEPS TAKEN TO PROTECT YOUR INFORMATION

We have security practices and procedures in place to prevent unauthorized use or access to your Nonpublic Personal Information. Internally, your information is available to employees requiring access to the information for various business purposes, such as processing or servicing transactions, and those fulfilling compliance, legal or audit functions. Our computer systems utilize password protection to prevent access by unauthorized personnel, and we employ other physical, electronic, and procedural safeguards to ensure the protection of your Nonpublic Personal Information in accordance with state and federal privacy regulations.

AMENDMENTS TO OUR PRIVACY POLICY

All material amendments to our Privacy Policy will be posted on our Web Site. Additionally, we may send you an amended version of our Privacy policy through the mail.