Maine Accountants Alliance, Inc., in keeping with the 'know your customer' rule is required to obtain personal information from you to aid us in meeting your investment needs and to assist us in making certain decisions and determinations in relation to your accounts and products you own through Maine Accountants Alliance.  Given the sensitive nature of such information, we realize that concerned consumers may have questions about our privacy policies and how we use personal data in our day-to-day business operations.  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 or others;

• information regarding your eligibility for our products and services;

• information we receive from consumer-reporting agency.

Generally, we collect and may disclose the collected information in connection with processing, servicing, or maintaining your business.  We may disclose nonpublic personal information about you to the following types of third parties : financial service providers, such as mortgage bankers,/lenders, securities broker-dealers, and insurance agents.

Maine Accountants Alliance restricts access to your personal and account information to those employees who need to know that information to provide products or services to you.  Employees are required to treat your account information with the strictest confidence and will not divulge information or transact business for anyone who cannot be identified as an individual authorized to transact business for the account in question.  Maine Accountants Alliance maintains physical, electronic, and procedural safeguards to protect your nonpublic personal information.

Maine Accountants Alliance supports our clients' right to privacy and we are committed to protecting it.  Our clients can have confidence in our resolve to handle personal information in the most professional and responsible manner possible.  If you believe there are inaccuracies in your personal information as maintained in our records. please contact us.  We will investigate and correct any erroneous information.

We do not sell information to third parties.  Maine Accountants Alliance only discloses information about your, your products or account(s) to others under the following circumstances:

• To meet the transaction and record keeping requirements of our broker-deal and correspondent clearing arrangement;

• When it is necessary to complete a transaction or place a product on your behalf;

• To comply with a request or court order  of a government or regulatory agency, such as the Securities and Exchange Commission (SEC),  or the Internal Revenue Service;

• At your request, to verify the existence and condition of your account for a third party, such as a bank or credit agency;

• To perform credit checks;

• As otherwise required by applicable laws, rules, or regulations.

You right to Limit use and disclosure of certain information: Maine Accountants Alliance is committed to informing you about new products and services as they become available and that may be useful to you.  Sharing information helps us to do this.  However, you may request that we limit disclosure of your information, that is, you may "OPT OUT" of disclosure of certain information to others as described in this paragraph.  By completing an opt out form, available from your representative, or by calling 207-778-2250 and requesting to opt out, you request that we not share information regarding your credit history, income, account history, etc. that might be used in determining your eligibility for products, except to the extent sharing is permitted by law or authorized by you.  Even if you opt out your representative may still contact you.  Your opt out request will remain in effect until you notify us otherwise in writing.

Maine Accountants Alliance is dedicated to protecting your privacy.  If you have a concern about your personal or account information, please call us for assistance.  As always, we thank you for your business and we look forward to servicing your financial services needs now and in the future.