Under no circumstances will Waterford Investor Services Inc. sell, share or otherwise provide your information to any non-affiliated third party entity except as set forth in this policy.

In order to maintain and service your accounts, Waterford will gather and store information about you. This information, collected via the new account application and other account documentation, is critical to open and administer your account. In addition to this collected information, transactions facilitated by you through Waterford will be kept for reporting purposes and pursuant to Waterford’s regulatory requirements. To provide superior service to our clients, it is necessary for Waterford to share information with third parties it is currently involved with in a contractual relationship (such as referring financial institutions). The sharing of information with these financial institutions is critical to servicing your account. Allowing this sharing process to continue uninterrupted will allow you to take full advantage of the value offered by the relationship between your financial institution and Waterford Investor Services Inc.. The sharing of personal information is carried out on a strictly professional basis and is incidental to servicing your account. Information about former customers who do not currently maintain an account relationship with Waterford is not shared with any outside party. This type of sharing does not occur in Vermont and North Dakota.

Waterford has received assurances from these third parties that they will not share your personal information.

Through the normal course of servicing your account, certain agents and employees may have access to your confidential account information. This may include operations and support personnel, as well as your investment professional; however, access to this information is limited and held in the strictest confidence.

Waterford does offer you the option to limit the sharing of information between Waterford and referring financial institutions.

If you would like to request that your information not be shared with referring financial institutions or if you would like more information about Waterford’s Privacy Policy, a request should be sent in writing to Waterford Investor Services Inc., ATTN: Compliance/Privacy Policy, Boulders IV, Suite 601, 7501 Boulders View Drive, Richmond, VA 23225.

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