Maine Securities' Privacy Policy

Maine Securities Corporation Privacy Policy

Maine Securities Corporation Privacy Policy
Maine Securities Corporation respects your privacy. We commit to you that we will protect it.

We do not share or sell personal information about you with others, other than as described herein. Certain confidential information is required by law to be provided to our correspondent-clearing firm, but only for the purpose of opening and maintaining your account and/or where regulations otherwise require it. Our clearing firm also pledges to treat such information confidentially. You receive a copy directly from them. You can also request a copy from them, us, or at www.swst.com

When applying for or maintaining an account with us and when accessing your account electronically, you consent to the collection and use of information as set forth in this Privacy Policy.

1.We limit how and with whom we share your information. Maine Securities Corporation will only share your personal and financial information with others (including family members):
2. At your request;
3. To process or service a transaction or product authorized or requested by you;
4. When required by law to disclose such information to appropriate authorities;
5. With our correspondent clearing firm for the purpose of maintaining your account information and holding your securities.
6. As otherwise allowed by law for the purpose of servicing and maintaining your account.

We collect essential information necessary to deliver the investment services that you request.

Maine Securities Corporation collects the personal and financial information about you necessary to serve your financial needs, to protect against fraud, and to fulfill legal and regulatory requirements. We collect the following:

1. Information we receive from you on account applications and other forms, and any other information you subsequently provide to us orally, in writing;
2. Information about your transactions and communications with us;
3. Information (if any) that we receive from credit bureaus; and
4. Information from public records accessed in the ordinary course of business

We establish safeguards to ensure the security and confidentiality of your information.

Maine Securities Corporation restricts access to your personal and financial information only to those associates who require such to perform their job. Employees with access to your information are required to strictly maintain the confidentiality of all customer information.

Maine Securities Corporation and our correspondent clearing firm maintain physical, electronic and procedural safeguards that comply with Federal standards to protect your personal information. Information systems are routinely tested to ensure that unauthorized access does not occur.

Maine Securities Corporation Customer Communications: This Privacy Policy does not preclude our right to include marketing messages and materials with your account statements, as well as periodic customer communications (newsletters, account maintenance letters, change in terms notices, etc.)

Your accounts with Maine Securities Corporation are protected by SIPC. You may obtain information about SIPC, including the SIPC brochure, by contacting SIPC. SIPC’s Web site address is (www.sipc.org) You may contact SIPC directly at (202) 371-8300.

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