Statement of Privacy Policy and
  Verification of Customer Identity

Privacy Policy

Twenty-First Securities is required to inform customers in writing when an account is opened, and annually thereafter, of Twenty-Firstís Privacy Policy.

Twenty-First Securities collects nonpublic personal information about its customers from information Twenty-First receives from its customers on applications and other forms, and from information about its customersí transactions with Twenty-First and others. We do not disclose any nonpublic personal information about our customers to anyone, except as permitted by law.

If a Twenty-First Securities customer decides to close his/her account or become an inactive customer, Twenty-First will adhere to the privacy policies and practices as described in this notice.

Twenty-First Securities restricts access to customersí personal and account information to those employees who need to know that information to provide products or services to customers. Twenty-First maintains physical, electronic and procedural safeguards to guard customersí nonpublic personal information.

Verification of Customer Identity

Important information about procedures for opening a new account: To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify and record information that identifies each person who opens an account. When you open an account, we will ask you for your name, address, date of birth and other information that will allow us to identify you. For individuals, we also will ask for a copy of your driverís license or passport. In addition, Twenty-First Securities may be required to file a suspicious activity report (SAR) on a client or potential client. Twenty-First Securities is not allowed to notify a customer or potential customer of the filing of an SAR.


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