Information About Our Company NFPSI Privacy Policy NFPSI

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amount
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providers
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Alternative Investments
Investments
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to support and participate in NFPSI conferences and seminars. We may pay our financial advisors a higher
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Variable
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Life Insurance
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Select
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Additional Information
Information
Additional
services to NFPSI, our affiliated insurance agencies and our financial advisors. We may pay our financial advisors
For additional
additional
information regarding
regarding fees
fees and
and compensation,
compensation, you
you should
should refer
refer to
to the
the prospectus
prospectus and
and statement
statement of
of additional
additional
For
information
Additional
Information
a higher
percentage of compensation for sales of Select Provider variable life insurance products than for other
information
applicable
to your
your
investment.
information
applicable
to
investment.
For
additional
information
regarding
fees
and
compensation,
you
should
refer
to
the
prospectus
and
statement
of
additional
such products we sell.
information applicable to your investment.
Select Provider
Provider List
List
Select
Additional Information
Our
listProvider
of Select
SelectList
Providers may
may change
change from
from time
time to
to time
time and
and be
be updated
updated periodically.
periodically. Please
Please refer
refer to
to our
our web
web site
site
Our
list
of
Providers
Select
For additional information regarding fees and compensation, you should refer to the prospectus and statement of additional
If you
you periodically.
do not
not have
have
access
to toour
our
web
site,
If
do
access
to
web
site,
at
https://securities.nfp.com/webfiles/public/Securities/providers.htm.
at
https://securities.nfp.com/webfiles/public/Securities/providers.htm.
Our
list
of
Select
Providers
may
change
from
time
to
time
and
be
updated
Please
refer
our
web
site
information applicable to your investment.
please
feel free
free to
to contact
contact your
your financial
financial advisor
advisor or
or our
our offices
offices for
for additional
additional
information.
Theaccess
following
is aa list
list
of site,
our
please
feel
The
following
our
If youinformation.
do not have
to is
our
webof
at
https://securities.nfp.com/webfiles/public/Securities/providers.htm.
Select
Providers
ascontact
of April
Aprilyour
15, 2014.
2014.
Select
as
of
15,
please Providers
feel free to
financial advisor or our offices for additional information. The following is a list of our
Provider
List
Select
asProviders
of April
2014.
Our
listProviders
of Select
may
changeAmerican
from time
to time
and be
updated
periodically.
Please
refer Natixis
to
our web
site
Select
Mutual
Fund15,
Providers:
American
Funds,
Fidelity,
Invesco,
John
Hancock, Lord
Lord
Abbott,
Natixis
Global
Select
Mutual
Fund
Providers:
Funds,
Fidelity,
Invesco,
John
Hancock,
Abbott,
Global
If
you
do
not
have
access
to
our
web
site,
at https://securities.nfp.com/webfiles/public/Securities/providers.htm.
Associates,
Nuveen,
Oppenheimer
Funds,
Putnam
Investments,
and
Associates,
Nuveen,
Oppenheimer
Funds,
Putnam
Select
Mutual
Fund Providers:
American
Funds,
Fidelity,Investments,
Invesco, Johnand
Hancock, Lord Abbott, Natixis Global
please feel
free toFunds.
contact
your financial
advisorFunds,
or our offices
additional information.
The following is a list of our
Principal
Funds.
Principal
Associates,
Nuveen,
Oppenheimer
PutnamforInvestments,
and
Select Providers
as
of
April
15,
2014.
Principal
Funds. Life
Select
Variable
Life Providers:
Providers: AIG,
AIG, AXA,
AXA, ING
ING Reliastar,
Reliastar, ING
ING Security
Security Life,
Life, John
John Hancock,
Hancock, Lincoln
Lincoln Financial
Financial
Select
Variable
Select
Mutual
American
Funds,
Fidelity,Pacific
Invesco,
John
Hancock,
Abbott,Lincoln
NatixisFinancial
Global
Group,Variable
MetLifeFund
Investors,
Metropolitan
Life,
Nationwide,
Pacific
Life,
Principal,
andLord
Prudential.
Group,
MetLife
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Metropolitan
Life,
Nationwide,
Principal,
and
Prudential.
Select
Life Providers:
Providers:
AIG, AXA,
ING
Reliastar,
ING Life,
Security
Life, John
Hancock,
Associates,
Nuveen,
Oppenheimer
Funds,
Putnam
Investments,
and
Group,
MetLife Investors,
Nationwide,
Pacific Life,
Principal,
and Prudential.
Select Variable
Variable
AnnuityMetropolitan
Providers: Life,
Allianz,
AXA, Jackson
Jackson
National,
Lincoln
Financial Group,
Group, MetLife,
MetLife,
Select
Providers:
Allianz,
AXA,
National,
Lincoln
Financial
Principal
Funds. Annuity
Nationwide,
Pacific
Life, Protective
Protective
Life,Allianz,
Prudential
and Transamerica.
Transamerica.
Nationwide,
Pacific
Life,
Life,
Prudential
and
Select Variable
Annuity
Providers:
AXA,
Jackson National, Lincoln Financial Group, MetLife,
Select
Variable
LifeLife,
Providers:
AIG,
AXA,
ING Reliastar,
ING Security Life, John Hancock, Lincoln Financial
Nationwide,
Pacific
Protective
Life,
Prudential
and Transamerica.
Group, MetLife Investors, Metropolitan Life, Nationwide, Pacific Life, Principal, and Prudential.
Select Equity
Equity Index
Index Annuity
Annuity Providers:
Providers: Allianz,
Allianz, American
American Equity,
Equity, American
American General,
General, American
American National,
National,
Select
Americo,
Forethought
Financial,
Genworth,Allianz,
Great American,
American,
ING, Jackson
Jackson
National,
Lafayette
Life,National,
Life of
of
Americo,
Forethought
Financial,
Genworth,
Great
National,
Lafayette
Life,
Life
Select
Equity
Index Annuity
Providers:
American ING,
Equity,
American
General,
American
the Southwest,
Southwest,
LincolnFinancial,
Benefit Life,
Life,
LincolnGreat
Financial
Group,ING,
National
Western
Life, Pacific
Pacific
Life,
Principal,
the
Lincoln
Benefit
Lincoln
Financial
Group,
National
Western
Life,
Life,
Principal,
Americo,
Forethought
Genworth,
American,
Jackson
National,
Lafayette
Life,
Life of
Reliance
Standard
Life, Sagicor
Sagicor
life
Insurance
Co,
Symetra,
and The
The
Standard.
Reliance
Standard
Life,
Insurance
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and
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the
Southwest,
Lincoln
Benefit life
Life,
Lincoln Co,
Financial
Group,
National
Western Life, Pacific Life, Principal,
Reliance
Standard
Life,
SagicorProviders:
life Insurance
Co, Symetra,
andEquity,
The Standard.
Select
Equity
Index
Annuity
Allianz,
American
American
General, American
National,
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and
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the Southwest, Lincoln Benefit Life, Lincoln Financial Group, National Western Life, Pacific Life, Principal,
and Transamerica.
Select Alternative
Alternative
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ING,Markets,
MassMutual,
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Reminder
Reminder
Investments, CNL Securities, Dividend Capital, Franklin Square, Griffin Capital, ICON Securities,
You should
should always
always keep
keep your
your financial
financial advisor
advisor informed
informed of
of any
any changes
changes to
to your
your investment
investment objectives.
objectives. Please
Please call
call your
your
You
Reminder
Inland Securities, Ironwood Capital, KBS Capital Markets, Partners Group, Penneco, Ridgewood Energy,
financial
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you do
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Skybridge Capital, Steben & Company, and WP Carey.
advisor is
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Reminder
You should always keep your financial advisor informed of any changes to your investment objectives. Please call your
financial advisor to discuss any such changes. If you do not have a financial advisor for your account or if your financial
advisor is no longer associated with NFPSI, please contact our home office at 512-697-6464.
1250
1250 Capital
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PRSRT. STD.
U.S. POSTAGE
PAID
Creative Services
Information About Our Company
Information About Our Company
Thank you for establishing and account with NFP Securities, Inc. (NFPSI) or engaging us to
Information
About
Our
Company
Thank you
establishing
and account
with
NFPadvisor
Securities,
Inc. (NFPSI)
us to
provide
youfor
investment
services.
Your financial
has associated
withorusengaging
as his/her
provide you investment
services.adviser,
Your financial
has associated
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us as
his/her
broker-dealer
and/or investment
to provideadvisor
you investment
products
services.
broker-dealer and/or investment adviser, to provide you investment products and services.
Thank you for establishing and account with NFP Securities, Inc. (NFPSI) or engaging us to
Please
moment to read
the following
information
regarding
our Privacy
Policies,
which we
providetake
youa investment
services.
Your financial
advisor
has associated
with
us as his/her
Please
take
a
moment
to
read
the
following
information
regarding
our
Privacy
Policies,
which
weWe
apply
to all ourand/or
client investment
relationships,
including
individuals,
retirement
clients.
broker-dealer
adviser,
to provide
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investmentand
products
and plan
services.
applyalso
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andrelationships,
retirement plan
have
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andPrivacy
consolidated
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Please
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our
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which
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disclosure
program
of
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(FINRA)
and
consolidated
financial
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reports.
If
you
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information
about
material
changes
apply to all our client relationships, including individuals, corporate, and retirement plan clients. We
account
reports.
youand
arehow
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to obtain
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account
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send
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following
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to
ourthis
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document,
also enclosed.
2014.
Thank you for the opportunity to meet your financial service’s needs. Regulations require that we
send this information to you on an annual basis. The following information is for the current year
2014.
NFPSI Privacy Policy
NFPSI Privacy Policy
AUSTIN,
TX78746
78746
Austin, TX
1250 Capital of Texas Hwy., South
Bldg. 2, Suite 125
Austin, TX 78746
FACTS
FACTS
Why?
FACTS
Why?
Why?
What?
What?
What?
How?
How?
How?
Privacy
Policy
WHAT DOES NFPSINFPSI
DO WITH
YOUR PERSONAL
INFORMATION?
WHAT DOES NFPSI DO WITH YOUR PERSONAL INFORMATION?
Financial
Financial companies
companies choose
choose how
how they
they share
share your
your personal
personal information.
information. Federal
Federal law
law gives
gives consumers
consumers the
the
right
right
to
to
limit
limit
some
some
but
but
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not
all
all
information
information
sharing.
sharing.
Federal
Federal
law
law
also
also
requires
requires
us
us
to
to
tell
tell
you
you
how
how
we
we
Financial companies
choose DO
how WITH
they shareYOUR
your personal
information.
Federal law gives consumers the
WHAT
DOES
NFPSI
PERSONAL
INFORMATION?
collect,
collect,
share,
and
and protect
protect
your
personal
personal information.
information.
Please
Pleaselaw
read
read
this
thisrequires
notice
notice carefully
carefully
to understand
understand
our
right
to share,
limit some
but notyour
all information
sharing. Federal
also
us to tell to
you
how we our
privacy
privacy policies.
policies.
collect,
share,
and protect your personal information. Please read this notice carefully to understand our
privacy policies.
Financial
companies choose how they share your personal information. Federal law gives consumers the
The
The types
types
of
of personal
personal
information
we
we collect
collect
and
and share
share
depend
depend
on
on the
the
product
product
or
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provide
provide
to
right
to limit
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not all information
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Federal
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you. types
This
This
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can
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include:
include:
The
of personal
information
we collect
and share
depend
thenotice
product
or service
we provideour
to
collect,
share,
and protect
personal
information.
Please
readonthis
carefully
to understand
you.
This
information
can
include:
privacy
policies.
 Name,
Name, address,
address, Social
Social Security
Security number
number
 Net
Name,
address,
Social
Security
number
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worth,
income,
income,
assets,
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account
transactions
transactions
and
anddepend
balances
balances
and
medical or
information
information
(for
insurance
insurance
types
of personal
information
we collect
and share
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the medical
product
service we(for
provide
to
products)
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 Net
income,
assets,
account transactions and balances and medical information (for insurance
you.
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products) experience
Investment
Investment
experience
and
and risk
risk number
tolerance
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 Name,
address,
Social Security
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and
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Should
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in
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notice.
notice.
Upon
Upon
termination
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of
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your
relationship,
relationship,
we
we
may
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information
information
with
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any
any new
new
Should
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and
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broker-dealer,
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investment
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or
or custodian
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thatrelationship,
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select for
for
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described
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may share
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with account.
any new
To
Investment
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and
To the
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extent
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ortolerance
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accordance
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If the
financial
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providing
youany
services
described
this notice.
Upon
termination
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relationship,
weyour
may
share
information
with
new
financial
financial
advisor
advisor
may
may
retain
retain
copies
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information
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so
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that he
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accordance
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If theyour
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All
All financial
financial
companies
companies
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need
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personal information
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In
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below,
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list
list
the
the
reasons
reasons
the
the
reasons
reasons
NFPSI
NFPSI
may
may
share
share
your
your
information
information
with
with
All
financial
companies
need
to
share
personal
information
to
run
their
everyday
business.
In
the
section
financial advisor may retain copies of your information so that he or she may assist with the transfer
of
you
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NFPSI
mayatshare
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new information
company. with third parties and whether
you can limit this sharing.
All financial companies need to share personal information to run their everyday business. In the section
below, we list the reasons the reasons NFPSI may share your information with third parties and whether
you can limit this sharing.
Reasons we can share your personal information
Reasons
Reasons we
we can
can share
share your
your personal
personal information
information
Reasons
we
can
share
your
personal
information
we can share
your
For ourReasons
everyday business
purposes
– personal information
Does NFPSI
Does
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Does
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share?
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Can you limit this
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sharing?
For
purposes
––
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everyday
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as everyday
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Yes
No
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regulatory
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or
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court
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and legal
legal
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or report
report
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credit
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to process
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credit
bureaus
credit
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regulatory
authorities, court
court orders
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and legal
legal investigations,
investigations, or
or report
report to
to
regulatory
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credit
bureaus
For
our
marketing purposes –
credit
bureaus
No
No
For
our
purposes
––
For
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marketing
purposes
to offer
our
products
and services
to you
No
No
No
No
to
offer
products
and
to
to
offer
our
products
and services
services
to you
you
For
our our
marketing
purposes
For
our
marketing
purposes
––
No
No
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to offer
offer
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productswith
and services
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youcompanies
For
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No
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to
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For
No
No
For joint
joint marketing
marketing with
with other
other financial
financial companies
companies
No
No
joint
marketing
with
other
financial
companies
No
No
For
our
affiliates’
everyday
business
purposes
–
For joint marketing with other financial companies
No
No
Yes
No
For
our
business
purposes
––
For
our affiliates’
affiliates’
everyday
businessand
purposes
information
abouteveryday
your transactions
experiences
Yes
No
Yes
No
information
about
your
experiences
information
abouteveryday
your transactions
transactions
and
experiences
For
our affiliates’
affiliates’
everyday
businessand
purposes
For
our
business
purposes
––
Yes
No
Yes
No
For
our affiliates’
everyday
businessand
purposes
–
information
about your
your transactions
transactions
and
experiences
information
about
experiences
No
We do not share
For
our
affiliates’
everyday
business
purposes
–
For
our affiliates’
business purposes –
information
about everyday
your creditworthiness
No
We
No
We do
do not
not share
share
information
about
your
information
abouteveryday
your creditworthiness
creditworthiness
For
our affiliates’
affiliates’
everyday
business purposes
purposes ––
For
our
business
No
We
do
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share
No
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information
abouttoyour
your
creditworthiness
For
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market
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not share
share
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our affiliates
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We do
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share
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our non-affiliates
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share
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our non-affiliates
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share
For
No
We
Call: 512-697-6464 or write: NFP Securities, Inc., 1250 Capital of
Questions?
Call:
or
Inc.,
Call:
512-697-6464
or write:
write:
NFP Securities,
Securities,
Inc., 1250
1250 Capital
Capital of
of
Texas512-697-6464
Highway, Austin,
TX NFP
78746,
Attn: Privacy
Officer
Questions?
Questions?
Texas
Highway,
Austin,
TX
78746,
Attn:
Privacy
Officer
Texas
Highway,
Austin,
TX
78746,
Attn:
Privacy
Officer
Call: 512-697-6464
512-697-6464 or
or write:
write: NFP
NFP Securities,
Securities, Inc.,
Inc., 1250
1250 Capital
Capital of
of
Call:
Questions?
Questions?
Texas Highway,
Highway, Austin,
Austin, TX
TX 78746,
78746, Attn:
Attn: Privacy
Privacy Officer
Officer
Texas
Who we are
Who
Who we
we are
are
Who
we
are
Who we are
Who is providing this notice?
Who
Who isis providing
providing this
this notice?
notice?
Who isis providing
providing this
this notice?
notice?
Who
What we do
What
What we
we do
do
What we
we do
do
What
.
..
..
How does NFPSI protect my personal
How
does
How
does NFPSI
NFPSI protect
protect my
my personal
personal
information?
information?
information?
How
does
NFPSI
protect
my
personal
How does NFPSI protect my personal
information?
information?
How does NFPSI collect my personal
How
How does
does NFPSI
NFPSI collect
collect my
my personal
personal
information?
information?
information?
How
does
NFPSI
collect
my
personal
How does NFPSI collect my personal
information?
information?
NFP SECURITIES, INC. - MEMBER FINRA/SIPC
NFP
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To protect your personal information from unauthorized access and
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personal
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To
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personal
information
from unauthorized
unauthorized
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applicable
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your
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ensure
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ensure
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those persons
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our employees
employees in
in
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measures
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comply
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applicable
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handling
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personal
information.
procedural
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proper
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personal
information.
the
proper
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personal
information.
regulations
to
protect
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information.
We
train
our
employees
in
regulations to protect your information. We train our employees in
the
proper
handling
of
personal
information.
We
collect
your
personal
information,
for
example,
when
you
the proper handling of personal information.
We
We collect
collect your
your personal
personal information,
information, for
for example,
example, when
when you
you
•We collect
Open your
a brokerage
account
or engage
us for investment
personal
information,
for
example,
when
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your
personalaccount
information,
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for investment
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us for
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••
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•
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investment and insurance products or seek advice
advisory
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advisory
services
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investment
and
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investment
and insurance
insurance products
products or
or seek
seek advice
advice
about your
investments
about
your
investments
about
your
investments
•
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investment
and
insurance
products
or
seek
advice
•
Purchase investment and insurance products or seek advice
•
Provide
us information
on applications, questionnaires, or
about
your
investments
about
your
investments
••
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us
applications,
questionnaires,
Provide
us information
information
onthrough
applications,
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or
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websites oron
discussions
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other
forms,
websites
or
through
discussions
with
other
forms,
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discussions
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our or
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information
onthrough
applications,
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applications,
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orthrough
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financial
advisor
other
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websites
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through
discussions
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our
other
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discussions
with
We also collect your personal information from others, such as
customer
support
staff or
or
your financial
financial
advisor
customer
support
staff
your
advisor
We
also
collect
your
personal
information
from
others,
We
also
collect
your
personal
information
from
others, such
such as
as
affiliates
or other
companies.
affiliates
or
other
companies.
affiliates
or
other
companies.
We
also
collect
your
personal
information
from
others,
such
as
We also collect your personal information from others, such as
affiliates
or
other
companies.
affiliates or other companies.
Why can’t I limit all sharing?
Why
Why can’t
can’t II limit
limit all
all sharing?
sharing?
Why
can’t
I
limit
all
sharing?
Why can’t I limit all sharing?
Definitions
Definitions
Definitions
Definitions
Definitions
Affiliates
Affiliates
Affiliates
Affiliates
Affiliates
Non-affiliates
Non-affiliates
Non-affiliates
Non-affiliates
Non-affiliates
Joint marketing
Joint
Joint marketing
marketing
Joint
marketing
Joint marketing
Federal law gives you the right to limit only
Federal
Federal law
law gives
gives you
you the
the right
right to
to limit
limit only
only
•
Sharing
for affiliates’
everyday
business
purposes –
Federal
law
gives
you
the
right
to
limit
only purposes
Federal
law gives
you
the right
to limitbusiness
only
••
Sharing
for
everyday
Sharing
for affiliates’
affiliates’
everyday
business
purposes ––
information
about your
creditworthiness
information
about
your
creditworthiness
information
about
your
creditworthiness
•
Sharing
for
affiliates’
everyday
business
purposes ––
•
Sharing for affiliates’ everyday business purposes
•
Affiliates
from
using
your
information to market to you
information
about
your
creditworthiness
information
about
your
creditworthiness
••
Affiliates
using
your
information
Affiliates from
from
using
your
information to
to market
market to
to you
you
••
Sharing
for
non-affiliates
to
market
to
you
Affiliates
from
using
your
information
to
market
to
you
•••
Affiliates
from
using
your
information
to
market
to
you
Sharing
Sharing for
for non-affiliates
non-affiliates to
to market
market to
to you
you
State laws and individual companies may give you additional rights
•
Sharing
for
non-affiliates
to market
market
to you
you
•State
Sharing
non-affiliates
to
State
laws
and
individual
companies
may
give
you
rights
laws
andfor
individual
companies
may to
giveinformation
you additional
additional
rights
to limit
sharing.
NFPSI
may
utilize
common
systems
or
to
limit
sharing.
NFPSI
may
utilize
common
information
systems
or
to
limit
sharing.
NFPSI
may
utilize
systems
or
State
laws
and
individual
companies
may
giveinformation
you additional
additional
rights
databases
to
which
employees
of ourcommon
affiliates
may
have access
that
State
laws
and
individual
companies
may
give
you
rights
databases
to
employees
of
our
affiliates
may
that
databases
to which
which
employees
ofhowever
our
affiliates
may have
have access
access
that
to
limitcontain
sharing.
NFPSI
may utilize
utilize
common
information
systems
or
could
your
information
suchinformation
information
will not
to
limit
sharing.
NFPSI
may
common
systems
or
could
contain
your
however
such
information
will
could
contain
your
information
however
such
information
will not
not
databases
to which
which
employees
of
our
affiliates
may have
have
access
that
be disclosed
by
an information
NFPSI
affiliate
except
as permitted
byaccess
law.
databases
to
employees
of
our
affiliates
may
that
be
an
affiliate
except
as
by
be disclosed
disclosed
by
an NFPSI
NFPSI
affiliate
exceptsuch
as permitted
permitted
by law.
law.
could
containby
your
information
however
such
information
will not
not
could
contain
your
information
however
information
will
be
disclosed
by
an
NFPSI
affiliate
except
as
permitted
by
law.
be disclosed by an NFPSI affiliate except as permitted by law.
Companies related by common ownership or control. They can be
Companies
related
by
ownership
Companies
related
by common
common
ownership or
or control.
control. They
They can
can be
be
financial and
nonfinancial
companies.
financial
and
nonfinancial
companies.
financial and
nonfinancial
companies.
Companies
related
by common
common
ownership or
or control.
control. They
They can
can be
be
Companies
related
by
ownership
•financial
Ourand
affiliates
includecompanies.
NFP Insurance Services, Inc., NFP
nonfinancial
financial
and
nonfinancial
companies.
••
Our
Insurance
Services,
Inc.,
Our affiliates
affiliates
include
NFP
Insurance
Services,
Inc., NFP
NFP
IndeSuite,
Inc.,include
and allNFP
other
subsidiaries
of National
IndeSuite,
Inc.,
and
all
other
subsidiaries
of
National
IndeSuite,
Inc.,include
and Corp.
allNFP
other
subsidiaries
of National
Our affiliates
affiliates
include
NFP
Insurance
Services,
Inc., NFP
NFP
Financial
Partners
••
Our
Insurance
Services,
Inc.,
Financial
Corp.
Financial
Partners
IndeSuite,Partners
Inc., and
andCorp.
all other
other subsidiaries
subsidiaries of
of National
National
IndeSuite,
Inc.,
all
Financial
Partners
Corp.
Companies
notPartners
related by
common ownership or control. They can
Corp.
Financial
Companies
by
ownership
Companies
not
related
by common
common
ownership or
or control.
control. They
They can
can
be financialnot
andrelated
nonfinancial
companies.
be
financial
and
nonfinancial
companies.
be
financial
and
nonfinancial
companies.
Companies not
not related
related by
by common
common ownership
ownership or
or control.
control. They
They can
can
Companies
•be financial
NFPSI does
not share with
non-affiliates so they can market to
and nonfinancial
nonfinancial
companies.
and
companies.
•be
NFPSI
does
not
with
non-affiliates
can
• financial
NFPSI
does
not share
share
with
non-affiliates
so they
they
can market
market
to
you. For
example,
we will
not
sell names so
and
addresses
to to
you.
For
example,
we
will
not
sell
names
and
addresses
to
you.
For
example,
we
will
not
sell
names
and
addresses
to
•
NFPSI
does
not
share
with
non-affiliates
so
they
can
market
to
marketing
companies.
•
NFPSI does not share with non-affiliates so they can market to
marketing
companies.
marketing
companies.
you.
For example,
example,
we will
will not
not sell
sell names
names and
and addresses
addresses to
to
you.
For
we
A formal
agreement
between non-affiliated financial companies that
marketing companies.
companies.
marketing
A
formal
agreement
between
non-affiliated
financial
A
formalmarket
agreement
between
non-affiliated
financial
companies that
that
together
financial
products
or services
to you.companies
together
market
financial
products
or
services
to
you.
together
market
financial
products
or
services
to
you.
A
formal
agreement
between
non-affiliated
financial
companies
that
A formal agreement between non-affiliated financial companies that
•together
NFPSI
doesfinancial
not jointproducts
market. or services to you.
market
market
financial
products or
services to you.
•together
• NFPSI
NFPSI does
does not
not joint
joint market.
market.
NFPSI does
does not
not joint
joint market.
market.
•• NFPSI
Other Important Information
Other
Important Information
Information
Other Important
Important
Information
Other
Important Information
Other
FINRA Public Disclosure Program
Federal
Federal
Federal
Federal
Federal
to limit only
to
to limit
limit only
only
to limit
limit only
only
to
FINRA
FINRA Public
Conduct
Rule 2280Program
requires us to provide you with the following information:
FINRA
Public Disclosure
Disclosure
Program
FINRA
Conduct
Rule
2280
requires
FINRA
Conduct
Rule
2280
requires us
us to
to provide
provide you
you with
with the
the following
following information:
information:
FINRA
Public
Disclosure
Program
FINRA Public Disclosure Program
FINRA
Conduct
Rule
2280 requires
requires
usDisclosure
to provide
provide Program
you with
with the
the
following
information:
TheConduct
FINRARule
Regulation
Publicus
Address,
Hotline
Number and Facsimile Telephone
FINRA
2280
to
you
following
information:
The
FINRA
The
FINRA
Regulation Public
Public Disclosure
Disclosure Program
Program Address,
Address, Hotline
Hotline Number
Number and
and Facsimile
Facsimile Telephone
Telephone
number
are:Regulation
number
are:
number
are:Regulation
The
FINRA
Regulation Public
Public Disclosure
Disclosure Program
Program Address,
Address, Hotline
Hotline Number
Number and
and Facsimile
Facsimile Telephone
Telephone
The
FINRA
Public
Disclosure
number
are:
number
are:
Public
Public
Disclosure
FINRADisclosure
Regulation, Inc.
FINRA
Regulation,
Inc.
FINRA
Regulation,
Inc.
P.O.
Box
9401
Public
Disclosure
Public Disclosure
P.O.
Box
9401
P.O.
Box
9401
FINRA
Regulation,
Inc. 20898-9401
Gaithersburg,
Maryland
FINRA Regulation, Inc.
Gaithersburg,
Maryland
Gaithersburg,
Maryland 20898-9401
20898-9401
Telephone:
800.289.9999
P.O.
Box 9401
9401
P.O.
Box
Telephone:
800.289.9999
Telephone:
800.289.9999
Fax: 301.212.8137
Gaithersburg,
Maryland 20898-9401
20898-9401
Gaithersburg,
Maryland
Fax:
Fax: 301.212.8137
301.212.8137
Telephone:
800.289.9999
Telephone:
800.289.9999
The
Regulation Website address is: www.FINRA.org
Fax: FINRA
301.212.8137
Fax:
301.212.8137
The
The FINRA
FINRA Regulation
Regulation Website
Website address
address is:
is: www.FINRA.org
www.FINRA.org
The
FINRA
Regulation
Website
address
is:
www.FINRA.org
The FINRA Regulation Website address is: www.FINRA.org
The FINRA Regulation Public Disclosure Program publishes an investor brochure that is available by contacting Public
The
publishes
The FINRA
FINRAatRegulation
Regulation
Public Disclosure
Disclosure
Program
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an investor
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you
any
you have
have
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concerns regarding
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your account,
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please feel
feel free
free to
to contact
contact your
your financial
financial advisor
advisor or
or our
our
offices
at 512-697-6464.
offices
at
512-697-6464.
offices
at
512-697-6464.
you have
have any
any questions
questions or
or concerns
concerns regarding
regarding your
your account,
account, please
please feel
feel free
free to
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contact your
your financial
financial advisor
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or our
our
IfIf you
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