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Why?

Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all
sharing. Federal law also requires us to tell you how we collect, share and protect your personal information. Please read this notice
carefully to understand what we do.

What?

The types of personal information we collect can include:
▪ Social Security number ▪ Investment experience
▪ Income ▪ Account transactions
▪ Assets ▪ Retirement assets
When you are no longer our customer, we will continue to hold your information and share it as described in this notice.

How?

All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list the
reasons why financial companies can share their customers’ personal information, the reasons LPL chooses to share personal information
and whether you can limit this sharing.

For our everyday business purposes, such as to process your transactions, maintain your account(s), respond to
court orders and legal investigations, or report to credit bureaus

Does LPL Share? Yes

Can You Limit This Sharing? No

For our affiliates’ everyday business purposes—information about your transactions and experiences

Does LPL Share? Yes

Can You Limit This Sharing? No

For joint marketing with other financial companies

Does LPL Share? Yes

Can You Limit This Sharing? No

For our marketing purposes to offer our products and services to you

Does LPL Share? Yes

Can You Limit This Sharing? No

For our affiliates’ everyday business purposes—information about your creditworthiness

Does LPL Share? No

Can You Limit This Sharing? We don’t Share

For non-affiliates to market to you—for clients with accounts established with LPL
representatives at banks or credit unions

Does LPL Share? No

Can You Limit This Sharing? We don’t Share

For non-affiliates to market to you—for clients with accounts established with LPL
independent representatives
* If your independent financial professional terminates his or her relationship with us and moves to another brokerage or
investment advisory firm, we or your independent financial professional may disclose your personal information to the
new firm, unless you instruct us not to by returning the completed Departing Financial Professional Privacy Choice form
attached to this notice

Does LPL Share? Yes

Can You Limit This Sharing? Yes

Who is providing this notice?

LPL Financial LLC and its affiliates (collectively, LPL). Our affiliates include the following:
▪ Fortigent LLC ▪ PTC Holdings, Inc. ▪ The Private Trust Company, N.A
▪ LPL Insurance Associates, Inc. ▪ Allen & Company of Florida, LLC, DBA Allen & Company

How does LPL protect my personal information?

To protect your personal information from unauthorized access and use, we use security measures that comply with
federal law. These measures include computer safeguards and secured files and buildings.
Our online environment uses security technologies, including layered security and access controls over personal
information. For further information, please visit the page How LPL Financial Secures Your Information

How does LPL collect my personal information?

We collect your personal information, for example, when you:
▪ Open an account ▪ Enter into an investment advisory account
▪ Apply for insurance ▪ Tell us about your investment or retirement portfolio
▪ Seek advice about your investments
We also collect your personal information from others such as credit bureaus, affiliates or other companies

Why can’t I limit all sharing?

Federal law gives you the right to limit only:
▪ Sharing for affiliates’ everyday business purposes—information about your creditworthiness
▪ Affiliates from using your information to market to you
▪ Sharing for non-affiliates to market to you
State laws and individual companies may give you additional rights to limit sharing. See below for more on your rights under
state law.

What happens when I limit sharing for an account I hold jointly with someone else?

Your choices will apply to everyone on your account.

Affiliates

Companies related by common ownership or control. They can be financial and non-financial companies.

  • Our affiliates include companies with an LPL Financial name; financial companies such as The Private Trust
    Company, N.A; non-financial companies and others.

Non-Affiliates

Companies not related by common ownership or control. They can be financial and non-financial companies.

  • Non-affiliates we may share information with include an independent representative’s new brokerage or an
    investment advisory firm.

Joint marketing

A formal agreement between non-affiliates financial companies that together market financial products or services to you:

  • This may include banks, credit unions or other financial institutions with which we have a joint marketing agreement

Information for California, North Dakota, and Vermont Customers

In response to applicable state law, if the mailing address provided for your account is in California, North Dakota, or Vermont, we will automatically treat your account as if you do not want us to disclose your personal information to non-affiliated third parties for purposes of them marketing to you, except as
permitted by the applicable state law.

For clients of LPL financial professionals also affiliated with a bank, credit union or other financial institution
If your account was opened in our offices located at a financial institution, such as a bank or credit union; and that financial institution decides to enter
into a relationship with a new financial services provider, we may share your information with that new financial services provider so that your account
can continue to be serviced.
For clients of independent investment advisor firms
If your account is managed by an independent investment advisor firm, we may share your information with that investment advisor firm and your
information is subject to the privacy notice of the investment advisor firm.

Mail in Form to Limit Sharing of Your information

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