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Privacy Policy

Financial firms choose how they share your personal information. Federal law gives consumers the right to limit some, but not all, sharing. Federal law also requires us to tell you how we collect, share and protect your personal information. Cantella & Co., Inc. firmly believes that it is of utmost importance to not only protect private client information in a secure environment, but also, to foster our clients' trust. Therefore we would like to explain how we guard your private information. In doing so we are also ensuring compliance with Regulation S-P adopted by the Securities and Exchange Commission. Please take a moment to review the following information concerning our privacy policy, and feel free to call our Compliance Department at (800) 333-3502 if you have any questions or concerns. We are committed to our efforts to service our clients, and we value the trust that you have placed in Cantella as your broker-dealer.

Information We Collect About You

In order to service your account, it is necessary that we collect nonpublic, personal information. Such information includes, but is not restricted to, information from consumer reporting agencies and information services (to check credit history and to confirm identity), from forms and applications (including items such as Social Security number, phone number, name, income, and assets), and from the transaction history on your account (checking items such as balances and trading history).

OUR PRIVACY POLICY

Cantella will not disclose nonpublic, personal information about clients (and former clients) except as required by law and regulation. Provided it is necessary to effect, administer, or enforce certain transactions related to a client account, we may disclose such information to our clearing firms and other non-affiliates of securities products (such as third-party vendors of advisory services and issuers of securities). We will not disclose or utilize private information for any purpose other than the purpose for which you originally disclosed the information to us. Information will not be used for any marketing purposes, nor will it be shared with any affiliated companies of Cantella. Since Cantella does not share personal client information other than for the purpose of servicing client accounts there is not an option to limit sharing. Affiliated companies are companies related by common ownership or control. They can be financial and nonfinancial companies.

To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.

Many of clients enjoy close relationships with their financial advisor ("FA"), and in most cases these relationships take precedence over the clients' relationship with Cantella. In the event that your FA leaves Cantella, we assume that you would want your FA to take your information with him/her to their new firm in order to service your account. If that is your choice, you must provide written permission to Cantella. However, if you would prefer that your FA not take your information to the new broker-dealer, please call our Compliance Department at (800) 333-3502.

Thank you again for placing your trust in Cantella, and we appreciate the opportunity to service your account.


Cantella Compliance Department
www.cantella.com
(800) 333-3502

The information on this Web site is for U.S. residents only. The information on this Web site does not constitute an offer to sell, or a solicitation of an offer to purchase, securities in any jurisdiction to any person to whom it is not lawful to make such an offer.

Investing involves risk and you may incur a profit or a loss. Please carefully consider investment objectives, risks, charges, and expenses before investing.