Wayne Hummer Privacy Statement Our Privacy Pledge to You Our clients are our most valuable asset. You trust us to discreetly handle your private nancial transactions, and we in turn take our responsibility to protect your con dential in0ormation and privacy seriously. We will never share or sell any nonpublic personal in0ormation about you to una0 liated third parties except as discussed below.
We will only disclose your nonpublic personal in0ormation, as indicated in this policy, i0 we have obtained your consent or we are required by law to disclose such in0ormation. Notice o a Your Financial Privacy Rights We, our, and us, when used in this notice, re0er to Wayne Hummer Wealth Management (WH): Wayne Hummer Investments, LLC (WHI), our Broker/ " Dealer a0 liate. Wayne Hummer Asset Management Company, LLC " (WHAMC), our Investment Advisor a0 liate.
Wayne Hummer Trust Company (WHTC), our Trust " Management a0 liate. This is our privacy notice 0or our customers. When we use the words cyou d and cyour d we are re0erring to all customers o0 Wayne Hummer Wealth Management, past and present.
The In aormation We Collect In order to provide you with individualized service, we collect personal in0ormation that enables us to ... more. less.
evaluate your nancial needs, to process your requests and transactions, to in0orm you about products and services that may be o0 interest to you, and to improve customer service. The in0ormation we collect about you includes: In0ormation you provide to us on applications or other " 0orms (such as your name, address, social security number, spouse and dependents, investment objectives, income, and net worth). In0ormation about your transactions or experience with " us and our a0 liated companies (such as purchases, sales, wire instructions, and account balances).<br><br> In0ormation 0rom a consumer-reporting agency. " In0ormation we receive as a result o0 veri0ying customer " in0ormation. In0ormation we receive as a result o0 your account inquiries " by mail, e-mail, telephone, or web site usage (including any in0ormation captured through our use o0 ccookies d).<br><br> The Confdentiality, Security, and Integrity o a Your In aormation Keeping customer in0ormation secure and using it only as you would want us to is a top priority 0or all o0 us. We do not disclose any personal in0ormation about you to non- a0 liated third parties, except as permitted by law. Speci cally, so that we may continue to e00ect transactions that you request or authorize and to o00er you products and services that best meet your investing needs, we may disclose the in0ormation we collect, as described above, to companies that per0orm trade execution, and administrative or marketing services on our behal0, such as clearing rms, service bureaus, trans0er agents, or printers and mailers that assist us in the distribution o0 investor materials.<br><br> These companies may only use this in0ormation 0or the services 0or which we hired them and are not permitted to use or share this in0ormation 0or any other purpose. We may share the personal in0ormation we collect about you, as described above, with our a0 liates*, such as nancial institutions, as permitted by applicable law. In addition, Wayne Hummer Investments speci cally enters into agreements with nancial institutions to jointly market non- deposit investment products and services to customers.<br><br> As joint marketers, the nonpublic personal in0ormation 0or our clients may be made available to both institutions. Beyond these joint-marketing arrangements, we will not disclose any o0 the above-mentioned non-public personal in0ormation about you to non-a0 liated third parties, except as permitted by law. We recognize that your relationship with your Financial Advisor is important.<br><br> I0 your Financial Advisor 9s a0 liation with WHI ends and he or she joins a nona0 liated securities broker-dealer with which WHI has entered into an agreement limiting the use o0 in0ormation, WHI will permit your Financial Advisor to retain certain o0 your contact in0ormation, limited to your name, address, e-mail address, phone number and account title. I0 you close your account(s) or become an inactive customer, we will adhere to the privacy policies and practices as described in this notice. With regard to our internal security procedures, we restrict access to personal in0ormation about you to those employees who need to know that in0ormation in order to service your account.<br><br> We maintain physical, electronic, and procedural sa0eguards to protect your personal in0ormation. Your right to privacy extends to all 0orms o0 contact with us, including telephone, written correspondence, and electronic media, such as the Internet. Employees who violate our rules will be subject to our normal disciplinary process.<br><br> I0 you have questions about our policy or 0or additional copies o0 this notice, send an e-mail to privacy@whummer. com or contact Wayne Hummer Wealth Management at 222 South Riverside Plaza, 28 th Floor, Chicago, Illinois 60606 or call 866.943.4732. *An a ffliate is a company we own or control, a company that owns or controls us, or a company that is owned or controlled by the same company that controls us.<br><br> Ownership does not mean complete ownership, but means owning enough to have control. Wayne Hummer Wealth Management 9s Business Continuity Plan Wayne Hummer Investments has developed a Business Continuity Plan on how we will respond to events that signi cantly disrupt our business. Since the timing and impact o0 disasters and disruptions is unpredictable, we will have to be fexible in responding to actual events as they occur.<br><br> With that in mind, we are providing you with this in0ormation on our business continuity plan. Contacting Us 3 I0 a0ter a signi cant business disruption you cannot contact us as you usually do by calling your Financial Advisor directly or 866.943.4732, you should call our alternative number 800.678.0833 or go to our web site at www.whummer.com . We recognize you many need access to your account to sell a position or request a check be0ore we re-establish telephone service with our clients.<br><br> During this time, First Clearing, LLC (First Clearing), our clearing rm, will assist you with sell/liquidation orders and provide check disbursements, i0 needed. I0 you cannot contact our rm, please call First Clearing 0or assistance at 877.496.3223. Our Business Continuity Plan 3 We plan to quickly recover and resume business operations a0ter a signi cant business disruption and respond by sa0eguarding our employees and property, making a nancial and operational assessment, protecting the rm 9s books and records, and allowing our customers to transact business.<br><br> In short, our business continuity plan is designed to permit our rm to resume operations as quickly as possible, given the scope and severity o0 the signi cant business disruption. Our business continuity plan addresses: data back up and recovery; all mission critical systems; nancial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location o0 employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their 0unds and securities i0 we are unable to continue our business. Our clearing rm, backs up our important records in a geographically separate area.<br><br> While every emergency situation poses unique problems based on external 0actors, such as time o0 day and the severity o0 the disruption, we have been advised by our clearing rm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within 24 to 48 hours. Your orders and requests 0or 0unds and securities could be delayed during this period. Varying Disruptions 3 Signi cant business disruptions can vary in their scope, such as only our rm, a single building housing our rm, the business district where our rm is located, the city where we are located, or the whole region.<br><br> Within each o0 these areas, the severity o0 the disruption can also vary 0rom minimal to severe. In a disruption to only our rm or a building housing our rm, we will trans0er our operations to a local site when needed and expect to recover and resume business within 24 hours. In a disruption a00ecting our business district, city, or region, we will trans0er our operations to a site outside o0 the a00ected area, and recover and resume business within 24 hours.<br><br> In either situation, we plan to continue business, trans0erring operations to our clearing rm i0 necessary, and noti0y you through our web site www.whummer.com or our customer emergency number, 800.678.0833. I0 the signi cant business disruption is so severe that it prevents us 0rom remaining in business, we will assure our customer 9s prompt access to their 0unds and securities. For more in aormation 3 I0 you have questions about our business continuity plan, you can contact us at 866.943.4732.<br><br> Customer Complaints Mail: Wayne Hummer Investments, Attn: Compliance, 222 South Riverside Plaza, 28 th Floor, Chicago, Illinois 60606 Phone: 800.621.4477 Email: firstname.lastname@example.org Service Fees Physical Certi cate Issue$125.00 per issue Outgoing Account Trans0ers$95.00 per account Wire Trans0ers$15.00 per wire International Wire$25.00 per wire Foreign Security TransactionVariable Returned Checks$25.00 per check Stop Payment$15.00 per check Stock Deposit Rejection$50.00 Direct Registration Rejection$75.00 Transaction Charge$5.00 per trade Service fees are subject to change without notice. This service fee schedule is not all- inclusive. There may be additional fees for other services requested.<br><br> Please inquire. E f fective January 2009. First Clearing, LLC is a registered broker dealer, Member FINRA/SIPC, and an a f- fliate o f Wells Fargo & Company.<br><br> V090909