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In order to provide you with financial and investment advice, services and products, Hornor, Townsend & Kent ("HTK") must obtain nonpublic personal information about you. HTK recognizes the importance of safeguarding this information in order to protect your privacy.
HTK collects nonpublic personal information through a variety of means, including telephone conversations, personal meetings, applications and forms. This nonpublic personal information includes your name, address, social security number, assets, income, investment objectives and investment experience. Additionally, HTK collects information about your transactions with HTK and its affiliates, including your account balance, transactional history, and previous investments. You have the right to access and request correction of recorded information. You may write or call us at (800) 225-7637 to make such a request.
HTK does not disclose information about current or former customers to anyone, except as permitted by law. For instance, HTK may share customer information with its affiliates (for example, the Penn Mutual Life Insurance Company) to the extent necessary to comply with your requests for products and services. HTK may also share customer information with third party service providers to assist us in providing requested services.
For example, HTK shares customer information with its clearing firm, so that you can receive statements, trading confirmations, monthly and or quarterly account statements, reorganization notices, and proxy information. For clients with investment advisory accounts, HTK shares information with investment companies and fund managers in order to enable them to make asset allocation and fund investment decisions. HTK ensures that any third parties that have access to customer information are contractually bound to keep this information confidential. Information we obtain from a report prepared by an insurance-support organization may be retained and disclosed by that organization.
HTK is also permitted to disclose customer information in order to: comply with a subpoena or a request for information from the Securities Exchange Commission, FINRA Regulation, or other federal or state securities or insurance regulatory body; to comply with federal, state or local laws; to guard against fraud; and to comply with service of process (subpoena, court order, etc.).