Customer Privacy Statement

Fox- Pitt, Kelton Incorporated is committed to safeguarding customer information and protecting your privacy. Accordingly, we want you to understand what information we gather and how we share it. This Customer Privacy Statement explains our collection, use and safeguarding of this information.

We collect nonpublic personal information about you from the following sources:

• Information we receive from you on applications or other forms;
• Information about your transactions with us, our affiliates, or others; and
• Information we receive from a consumer reporting agency.

We do not disclose any nonpublic personal information about our customers or former customers to anyone, except as permitted by law. Such disclosures as permitted by law include: information we need to disclose in response to a subpoena or SEC or NASD (click www.nasd.com to open NASD web site in new window) investigation and customer information we need to provide to Pershing LLC, the firm that clears customer securities transactions for us, to complete customer transactions.

We restrict access to nonpublic personal information about you to Fox-Pitt, Kelton Incorporated employees on a need to know basis 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.