Consumer Privacy Statements

PlanMembers Sources of Information About You.
We collect personal information about you from: The information you provide on applications or other forms (such as your name, address and Social Security number). Your transactions with us Your registered representative (such as updated information pertaining to your account)

PlanMember’s Use of Your Personal Information
We treat your information with respect and concern for your privacy. We may disclose information about you to our staff, affiliates, representatives, their affiliated businesses, and nonaffiliated third parties who provide you with financial products and services. Nonaffiliated third parties may include retirement plan sponsors or third-party administrators, mutual fund companies, insurance companies and agencies, other broker-dealers, and clearing firms. Our privacy policy is the same for current, as well as former clients. If you close your account, in the process of transferring your investments we may share your information with the new broker-dealer or custodian that you or your representative selects. If our representative servicing your account leaves us to join another broker-dealer, the representative is permitted to retain copies of your information so that he or she can assist with the transfer of your account and continue to serve you at their new firm. The representatives continuing use of your information will be subject to the new firms privacy policy.

We may disclose information such as your name, address, social security number, date of birth, transactional information or other financial information, when necessary for us to provide you with
financial products and services or report on your account, or where disclosure is prescribed by law. For example, we report your tax related information to federal and state governments, and we may disclose information during the course of an audit or to law enforcement or regulatory agencies.

We do not disclose your information to nonaffiliated companies who intend to market their products to you. For example, we will not sell clients names and addresses to a catalogue or marketing company.

We may also disclose any or all information we have collected about you to entities that perform services on our behalf such as bank custodians, mutual fund transfer agents, clearing broker/dealers. We may also enter into an information sharing agreement with your employer or its contracted third party administrator.

We make this type of disclosure to better service your PlanMember account or to inform you about PlanMember products and services. Before disclosing your information, we require these companies to promise to keep it confidential and use it only for the transaction we request.

Information About PlanMember Websites
This consumer statement also applies to PlanMembers websites. If you have Internet access and want more information about our website privacy and security practices, click on the privacy link on www.planmember.com.

Opting-out of Third-Party Disclosures
If you do not want us to share your information (other than as prescribed by law) with any nonaffiliated third parties, including the registered representative servicing your account when he or she leaves us to join another firm, you may contact our Service Center by calling our toll-free number (800) 874-6910.

Securing Your Information
Our staff, affiliates and representatives who have access to your information are required to follow our procedures reasonably designed to keep your information secure and confidential. Our physical, electronic and procedural safeguards have been reasonably designed to protect your information.

PlanMember Companies Subject to this Policy
This policy applies to all PlanMember companies.

Questions
If you have any questions regarding this policy, please call us at (800) 874-6910.

Business Continuity Information Notice
At PlanMember Securities Corporation, we recognize how heavily our clients rely on our services. We also recognize that the unexpected can and does occur, from simple power outages to major incidents affecting multiple websites or locations. PlanMember Securities Corporation wants you to know that we have plans in place to help safeguard your assets and protect vital account information in the event of a business disruption.

PlanMember Securities Corporation has developed corporate disaster recovery plans that include the ability to recover from various situations including, but not limited to, unplanned evacuations, power outages, fire, earthquake and facilities failures that may cause interruptions to our business. Our plans address the ability to recover critical functions according to their time criticality. In order to maintain secure and effective plans, PlanMember Securities Corporation does not provide the specific details in this notice, but you should be aware that PlanMember Securities Corporations corporate disaster recovery planning includes the following:

• Back up and recovery of critical information
• Identification and recovery of mission critical systems
• Alternate communications between PlanMember Securities Corporation and its customers
• Alternate communications with and physical location for its employees
• Regulatory reporting and communications
• Systems and telecommunications accessibility
• Review of financial and operational risks

Contacting Us
In the event of a significant business disruption where you cannot contact us as you normally would, you should contact our direct number at (800) 874-6910. If the magnitude of the disruption prohibits you from contacting ususing these methods, your next alternative is to contact the registered representative who appears on your current statement, or the mutual fund company or insurance company directly. Contact numbers for these mutual fund companies and insurance companies are available on the Internet or in the individual prospectus supplied to you.

Please note that the PlanMember Securities Corporation Business Continuity Plan is reviewed regularly to ensure that it accounts for technology, process and regulatory changes. Material changes to our plan will be reflected in an updated Business Continuity Information Notice, which will be posted on our website and delivered to customers when accounts are established. You may obtain a current written copy of this notice by contacting your PlanMember Securities Corporation registered representative or us directly at (800) 874-6910.