Introduction

Cantella & Co., Inc respects our clients’ needs to keep their personal information private. In that regard, and in accordance with the Securities and Exchange Commission Regulation S-P, Cantella & Co., Inc has established a Privacy Policy to keep confidential nonpublic personal information and records of all current and former clients.

This privacy policy describes the ways Cantella & Co., Inc., and its affiliates, collect, store, use, disclose, and protect your personal information. We use the term “personal information” to describe information that can be associated with you and can be used to identify you. Personal information does not include information that does not identify a specific person. You agree to the practices regarding your personal information described in this Privacy Policy when you use Cantella & Co., Inc.’s website or services.

We will access your information only as is necessary to perform those tasks required to properly service your account. Our employees will take every precaution to safeguard your personal information from unauthorized use.

Information We Collect

Personal information can include your name, address, telephone number, email address, other means to contact you, and Social Security number, as well as other information you may supply us in connection with a financial product or service, such as your demographic information, investment preferences, location information, or financial information. If you register with Cantella’s online services, we will collect data that may include personal information, such as your name, contact information, and SSN. In addition, we may collect information such as your Internet Protocol (IP) address and/or domain, the type and version of your Internet browser software and operating system you use, the date, time, and duration of your Cantella & Co., Inc online services access, the specific pages, buttons, images, links, and forms that you access while visiting Cantella & Co., Inc.’s online services, the type of device you use to access Cantella & Co., Inc.’s online services (such as a BlackBerry, iPhone, or iPad), your mobile carrier and/or Internet Service Provider. Collection of this data does not personally identify you. We may also use third party applications and services to collect and analyze this information in the aggregate. Your Cantella & Co., Inc affiliated advisor may collect personal and financial information from you for entry into one of our Clearing Firm’s account opening systems. This information may include the personal information as described above. We may also collect information about you that you otherwise submit to us, such as through email and other means.

Our Use and Sharing of Personal Information

We do not sell, share or disclose your non-public personal information to non-affiliated third marketing companies. In some cases, Cantella & Co., Inc. may disclose some or all of the previously described information. Exceptions to our privacy policy would be for the following reasons: Cantella & Co., Inc. is required to do so by judicial or regulatory process; Cantella & Co., Inc. is otherwise permitted to do so as permitted by law; The client has authorized Cantella & Co., Inc. to disclose such information to individuals and/or entities not affiliated with the firm (including, but not limited to, the client's other professional advisors and/or service providers, such as: attorneys, accountants, insurance agents, broker-dealer, investment adviser, account custodian, etc.).

If you do not want Cantella & Co., Inc. to disclose your non-public personal information with your representative's new financial institution, please contact us as per Cantella’s Consumer Privacy Policy.

We will use your personal data to provide information or services you request through Cantella & Co., Inc.’s website; to verify your identity when accessing these services; to compare information for accuracy and verify our records; to detect and prevent fraud or other criminal activities; or any other manners as described in Cantella & Co., Inc. Consumer Privacy Policy.

We may share some of your personal data with other entities that perform services for Cantella & Co., Inc. and are authorized to use your personal data to support our business operations. We may also share some of your personal data as permitted or required by law or as authorized by you.

Updating and Correcting Your Personal Information

Keeping your information accurate and up to date is very important. If your account information is incomplete, inaccurate or not current, please contact your financial advisor or Cantella & Co., Inc at (800) 333-3502.

Cookies and Similar Technology

Cookies are pieces of data stored on your device and are assigned by a web server to the browser on your device. When you return to a site you have visited before, your browser gives this data back to the server. Websites use cookies for authentication, storing website/information preferences, and other browsing information that can help the web browser while accessing web servers. Cantella & Co., Inc. uses cookies and similar technologies to track usage of the website and to address security issues. We may also use cookies to store your preferences relating to the use of our website. If you do not want to allow our website to place a cookie on your computer, you can change your browser’s settings to deny cookies; however, this may affect your experience with certain features of our website. Our websites do not respond differently when accessed by a browser that uses a do-not-track signal or similar mechanism.

A “session cookie” may be sent to your computer or other access device when you log in to Cantella & Co., Inc online services. This type of cookie recognizes you if you visit multiple pages on a site during the same session, so that you do not need to be prompted for your password on each page. Once you log out or close your browser, this cookie expires and no longer has any effect. “Persistent” or longer-lasting cookies can be used for other purposes, such as to record user experience preferences when you use a website and to inform you about Cantella products and services during and after you visit, a process known as remarketing. These cookies do not expire once you log out or close your browser. You are free to decline our cookies if your browser permits, but doing so may interfere with your use of Cantella online services.

Storage and Protection of Personal Information

We maintain administrative, technical, and physical safeguards that are designed to protect the privacy and security of personal information. Given the open nature of the internet, however, your personal data may be transmitted without security measures over networks connecting you to Cantella’s systems and may be accessed and used by parties other than those for whom the data is intended. To safeguard against unauthorized access, Cantella & Co., Inc. employs secure network architectures, such as encryption techniques, firewall barriers, authentication protocols, and intrusion detection. There is no guarantee that information may not be accessed, disclosed, altered, or destroyed by breach of any of our administrative, technical, and physical, or other operational, safeguards. You play a critical role in protecting your information by maintaining up-to-date computer security protections. Steps you take to ensure the security of your computer, computer passwords, or other personal identifier authentication mechanisms are key components of the protection of your personal information. You agree that you are responsible for any additional verification procedures and security you deem necessary.

Suspicious Email

It is our policy not to email you or send you electronic communications to request non-public personal information or account information (such as a username or password). If you receive an unsolicited email or other electronic communication that appears to be from Cantella & Co., Inc., but you suspect may be from another source and might be fraudulent, please email us at Compliance@cantella.com

Social Media

You may also find additional information on our products and services through our social media sites such as Facebook, LinkedIn, or Twitter. Please keep in mind that any information you share is visible to all participants on these social media sites and you should never post any sensitive personal information (such as account number or tax identification). Please carefully review the Terms of Use and Privacy Policy on these social media sites as they may be different than our own policies.

Personal Information on Children

We respect the privacy of children and encourage all parents to supervise their children’s computer usage. We do not knowingly collect or retain personal information from children under the age of thirteen (13). For more information on the Children’s Online Privacy Protection Act (COPPA), please visit the Federal Trade Commission website at www.ftc.gov.

Notice to Persons Accessing the Cantella & Co., Inc. Site Outside the United States

If you access Cantella & Co., Inc’s online services outside the United States, any information you provide to us through the platform will be transferred out of that jurisdiction and into the United States. If you do not want your personally identifiable information to leave that jurisdiction, do not provide the information to us. By providing personally identifiable information to us, you explicitly consent to the transfer of your information to the United States.

Contacting Us About Privacy Questions

If you have questions or concerns regarding this Privacy Policy, you should contact us by email at Compliance@cantella.com.

For Residents of California

If you are a California resident, California law may provide you with additional rights regarding our use of your personal information. To learn more about your California privacy rights, please see here.

Changes to this Privacy Policy

This Privacy Policy is subject to change. Please review it periodically. If we make changes to the Privacy Policy, we will revise the “Last Updated” date at the top of this Policy. Any changes to this Privacy Policy will become effective when we post the revised Privacy Policy on the site. Your use of Cantella online services following these changes means that you accept the revised Privacy Policy.

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