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| PRIVACY NOTICE |
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ELITE CAPITAL SERVICES, LLC ("ECS") does not share information about you except as permitted or required by law. ECS collects information about you from the following sources: information we collect from you directly on applications and other forms, information about your transactions with ECS and/or ECS affiliates or others, and information from consumer-reporting agencies. We call this information nonpublic personal information.
ECS will not share nonpublic personal information about you with any affiliated company of ECS without your permission. ECS will not share nonpublic personal information about you with any nonaffiliated third party without your express direction, other than service providers or other third parties that aid in fulfilling a service requested by you or as otherwise required by law.
In the course of providing brokerage services to you, ECS provides nonpublic personal information to National Financial Services LLC ("NFS") and/or to Charles Schwab Institutional.
ECS restricts access to nonpublic personal information about you to those employees who need to know that information to provide products or services to you. We maintain physical, electronic and procedural safeguards that comply with federal standards to guard your nonpublic personal information.
SEC Regulation S-P (effective July 1, 2001), requires brokerage firms to provide prior notification of any information distribution, and grants consumers the right to "opt out" of any proposed information distributing relationship. Opting out means telling ECS not to use or share information with third parties. As noted above, ECS has automatically opted you out of sharing your personal information with affiliated companies as well as unaffiliated third parties other than service providers or other third parties that aid in fulfilling a service requested by you.
The Registered Representative/Investment Adviser who services your account may possess nonpublic personal information we gather about you. In the event that your RR/IA should leave ECS and join another investment firm. ECS permits him/her to supply your nonpublic personal information to the new firm for the sole purpose of soliciting the transfer of your account(s) to that investment firm. You may opt out and tell ECS that you do not wish ECS to permit your RR/IA to share your information with any other investment firm, by mailing a request to opt out to the ECS Compliance Department, 153 Parkshore Drive, Suite 100, Folsom, CA 95630, or faxing a request to opt out to the ECS Compliance Department at (916) 985-6622. If you have more than one account, opting out will affect all of your accounts. Any person having a joint account that opts out does so for all holders of the joint account.
If you have any questions concerning the ECS Privacy Policy, you should contact the ECS Compliance Department.
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"It's not the years in your life that count. It's the life in your years."
- Abraham Lincoln
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