At BC Advisors LLC and MAFG RIA Services, Inc., we believe that it is essential to protect the privacy of client information. The nature and importance of our client relationships require the highest standards of confidentiality and discretion. We have prepared this notice to provide our clients with a summary of the non-public information that we may collect and maintain during the course of our relationship, our policy regarding the use of that information, and the measures we take to safeguard that information. We do not sell non-public information to anyone and only share it with others as described in this notice.
Information We Collect
In the course of our business relationship, we obtain non-public information about clients, including:
• Information we receive from you on applications, or other forms (such as your name, address and social security number and information about your employment, income, assets, beneficiaries and investment objectives).
• Information about your transactions with us, our affiliates or others (such as account activity, loan history and transaction information from other banks and financial advisers with whom you work).
•Information we might receive from outside agencies or other advisers or investment managers with whom your work.
We do not disclose any non-public information about our clients or former clients to anyone, except as permitted by law to facilitate our services to our clients or as otherwise required by law. As allowed by law, we share information about current and former clients among our affiliates as necessary to help us service your account with us. We also provide restricted client information to non-affiliated companies that require the information to provide specific services to client accounts.
We have implemented procedures designed to restrict access to your non-public personal information to those employees who need it to perform their job responsibilities. We maintain physical, electronic and procedural safeguards to guard your non-public information.
SIPC: MAFG is a member of Securities Investor Protection Corporation (SIPC), which protects securities customers of its members up to $500,000 (including $250,000 for claims for cash). You may obtain information about SIPC, including the SIPC brochure, by contacting SIPC at phone number (202)371-8300 or online at www.sipc.org.
FINRA Broker Check
In accordance with the Financial Industry Regulatory Authority Conduct Rule pertaining to Investor Education and Protection, we are providing our clients with the following information.
• The FINRA Broker Check Hotline telephone number is 800-289-9999.
• The FINRA Web site address is www.finra.org. For a copy of a brochure that includes important information concerning FINRA Broker Check, call the FINRA Broker Check Hotline or visit the FINRA Website: www.finra.org.
This notice was prepared in accordance with the provisions of section V of the Gramm Leach Bliley Act and the regulations of the federal banking regulators issued thereunder.