Privacy Statement

The following describes how Hennion & Walsh Inc. and its affiliates (collectively Hennion & Walsh) handle your personal information and the steps it takes to protect your privacy.

Accessing Information

Access to customer information by employees is authorized for Hennion & Walsh business only. Access is on a need to know basis, Hennion & Walsh requires its employees who have access to customer information to protect it and to keep it confidential.

Collecting information to conduct business

As authorized by you, Hennion & Walsh collects information about you to help your financial consultant serve your financial needs, provide customer service, offer new products or services, and fulfill legal and regulatory requirements. The type of information we collect may include:

• Information included on your application and related forms (such as name, address, social security number, assets, and income;
• Information about products and services purchased, account balances, payment history;
• Information from visitors to our Web Site www.hennionandwalsh.com such as online forms, site visitors, data and online information collecting devices (known as “cookies”).

Security Standards

Hennion & Walsh continues to assess new technology to evaluate its ability to provide additional protection of your personal information. We safeguard this information in accordance with federal standards and established security standards and procedures. Measures we take in this regard including implementation of physical, electronic, and procedural safeguards.

Sharing Information

Hennion & Walsh and it affiliates may share the information described above between the companies to provide customer service, offer new products, and ensure that your financial needs are met. In the course of conducting business, we may disclose some or all of the previously described information about you to our clearing service First Clearing, LLC, to non-brokers, Hennion & Walsh businesses and other businesses including non-affiliated third parties, as allowed by law for the purpose of:

• Providing customer services and account maintenance;
• Responding to a subpoena, to prevent fraud and/or money laundering, or to comply with an inquiry of an authorized government agency or regulator, and
  Performing services for us on our behalf in developing and maintaining information systems.
  Hennion & Walsh Inc. does not disclose any personal non-public information to any non-affiliated third party for purposes of marketing or any purpose other than stated above.