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COMP_Privacy-Policy-SX1-20211103X

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PRIVACY POLICY



FACTS

What Does StoneX Do with Your Personal Information?


Why?

Financial companies 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. Please read this notice carefully to understand what we do.


What?

The types of personal information we collect and share depend on the product or service you have with us. This information can include:

  • Account balances and transaction history;

  • Investment experience and assets;

  • Information we receive from you on applications or other forms including, but not limited to, your social

    security number or employer identification number, or your income;

  • Information about your transactions with us, our affiliates, or others; and

  • Information we receive from a consumer reporting agency.


How?

All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers’ personal information; the reasons StoneX chooses to share; and whether you can limit this sharing.


Reasons We Can Share Your Personal Information

Does StoneX

Share?

Can You Limit

This Sharing?

For our everyday business purposes

Such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus


YES


NO

For our marketing purposes

To offer our products and services to customers


YES


NO

For joint marketing with other financial companies

NO

We don’t share

For our affiliates’ everyday business purposes

Information about your transactions and experiences


YES


NO

For our affiliates’ everyday business purposes

Information about your creditworthiness


YES


YES

For our affiliates to market to you

YES

YES

For non-affiliates to market to you

NO

We don’t share

When your representative changes firms

YES

YES



To limit our sharing


Call StoneX One Customer Service at 1-866-443-5847 to limit sharing.

Please note: If you are a new customer, we can begin sharing your information 30 days from the date we sent this notice. When you are no longer our customer, we continue to share your information as described in this notice.

However, you can contact us at any time to limit our sharing.


Questions?


Call 1-866-443-5847 or email privacy@stonex.com.

Who We Are

Who is providing this

notice?

One or more of StoneX Financial Inc. – Broker Dealer Division, SA Stone Wealth Management Inc. and

SA Stone Investment Advisors Inc.

What We Do

How does StoneX protect my personal information?

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. We restrict access to employees, representatives, agents, or selected third parties who have been trained to handle such nonpublic personal information.


How does StoneX collect my personal information?

We collect your personal information, for example, when you:

  • Open an account or give us your income information

  • Seek advice about your investments or tell us about your investment or retirement portfolio

  • Make deposits or withdrawals from your account

We also collect your personal information from others, such as credit bureaus, affiliates, or other

companies.


Why can’t I limit all

sharing?

Federal law gives you the right to limit only:

  • Sharing for affiliates’ everyday business purposes—information about your creditworthiness.

  • Affiliates from using your information to market to you.

  • Sharing for nonaffiliates to market to you.

State laws and individual companies may give you additional rights to limit sharing. See below for more on your rights under state law.

What happens when I limit sharing for an account I hold jointly with someone else?


Your choices will apply to everyone on your account.


Definitions

Affiliates

Companies related by common ownership or control. They can be financial and nonfinancial companies. Our affiliates include the member companies of StoneX Group Inc.

Nonaffiliates

Companies not related by common ownership or control. They can be financial and nonfinancial

companies.


Joint Marketing

A formal agreement between nonaffiliated financial companies that together market financial

products or services to you.

Some StoneX affiliates have joint marketing agreements with credit card companies or others.


Other Important Information

You have the right to see and, if necessary, correct personal data. This requires a written request, both to see your personal data and to request correction. We do not have to change our records if we do not agree with your correction but we will place your statement in our file. If you would like a more detailed description of our information practices and your rights, please contact us by writing.

California Residents: Please email privacy@stonex.com to learn more about our Privacy Notice for California Residents or visit https://www.stonex.com/Terms-of-use/#PrivacyPolicy.

Nevada residents: Nevada law requires us to disclose that you may request to be placed on StoneX’s internal “do not call” list at any time by calling 1-866-443-5847, and that we are providing this notice to you pursuant to state law, and that you may obtain further information by contacting the Nevada Attorney General, 555 E. Washington Ave., Suite 3900, Las Vegas, NV 89101; phone 1-702- 486-3132; email BCPINFO@ag.state.nv.us. To learn more about our online privacy practices (e.g., “tracking”), please email privacy@ stonex.com

Vermont residents: We will automatically limit sharing of your information. For joint marketing, we will only disclose your email

address and your name contact information about your transaction.

The provisions below are applicable solely to customers of SA Stone Wealth Management Inc. and SA Stone Investment Advisors Inc.:

For MA Insurance Customers only: You may ask in writing the specific reasons for an adverse underwriting decision. An adverse underwriting decision is where we decline your application for insurance, offer to insure you at a higher than standard rate, or terminate your coverage.

For Insurance Customers in AZ, CA, CT, GA, IL, ME, MA, MN, MT, NV, NJ, NC, OH, OR, and VA only: The term “Information” in this part means customer information obtained in an insurance transaction. We may give your Information to state insurance officials, law enforcement, group policy holders about claims experience, or auditors as the law allows or requires. We may give

your Information to insurance support companies that may keep it or give it to others. We may share medical Information so we can learn if you qualify for coverage, process claims, or prevent fraud or if you say we can. To see your Information, contact the employee who services your account by mail or telephone. You must state your full name, address, the insurance company, policy number (if relevant), and the Information you want. We will tell you what Information we have. You may see and copy the Information (unless privileged) at our office or ask that we mail you a copy for a fee. If you think any Information is wrong, you must write us. We will let you know what actions we take. If you do not agree with our actions, you may send us a statement.

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