YOUR INFORMATION AND OES MARKETGROUP

We are committed to providing our clients with superior services and confidentiality they deserve. Consequently, we want to inform/remind you of our privacy policy. We welcome your inquiries or suggestions and would be pleased to provide any additional information as required.

Privacy policy

We collect nonpublic personal information from various sources, which include the following:

• Information we receive from you on an application and other forms;
• Information about your transactions with us, our affiliates and others;
• Information we receive from a consumer group agency.

We do not disclose any nonpublic information about you to any nonaffiliated third parties, except our clearing firms, Broadcort Capital Corp. and Penson Financial Services, Inc. or as permitted by law. However, we reserve the right to disclose nonpublic personal information about you collected as described above to our affiliated companies.

Why we collect information

We limit the collection and use of information to the minimum required to deliver service to you. Such services include maintaining your account, processing transactions requested by you and administering our business. We get most of our information directly from you when you apply for, access and use financial products and services offered by OES Market Group and its affiliates as well as Broadcort Capital Corp. and Penson Financial Services, Inc. acting as our agents.

• We may verify this information from consumer reporting agencies or public services;
• We do not disclose any nonpublic information about our customers or former customers to anyone except our clearing firm for purpose of opening and maintaining your account and except as permitted by law;
• We restrict access to nonpublic personal information about you to those employees and authorized agents who need to know that information to provide products and services to you;
• We maintain physical, electronic and procedural safeguards to guard your personal information.

Finally, we will not make any disclosures of information to other companies who want to sell their products to you. For example, we will not sell customer lists and will not sell your information to a catalogue company. If you decide to close your account(s) or become an inactive customer, we will adhere to the private policy and practices described in this notice.