PlanMember Services Consumer Privacy Statement & Business Continuity Information Notice

PlanMember Financial Corporation and its subsidiary companies, PlanMember Securities Corporation, PlanMember Services Corporation and PSC Insurance Marketing Corporation appreciate the trust you place in us when you ask us to help plan your future. You trust us with your private, personal information when you invest with us, and we are committed to protecting it. PlanMember does not sell information about you to others. To learn more about how PlanMember collects and uses your personal information, please read this notice.

Consumer Privacy Statement

PlanMember Companies Subject to this Policy
This policy applies to all PlanMember companies.

PlanMember’s Sources of Information About You
We collect personal information about you from:

  • The information we are required by law to collect on applications, investment suitability or other forms (such as your name, address and Social Security number)
  • Your transactions with us
  • Your PlanMember Financial Professional (such as updated information pertaining to your account)

PlanMember’s Use of Your Personal Information
We treat your information with respect and concern for your privacy. We may disclose information about you to our staff, affiliates, representatives, their employer and affiliated businesses and to nonaffiliated third parties who provide you or your representative with financial products and services. Nonaffiliated third parties service providers may include retirement plan sponsors or third party administrators, mutual fund companies, insurance companies and agencies, other broker-dealers and clearing firms, bank custodians and data service providers. Our privacy policy is the same for current and former clients. If you close your account, in the process of transferring your investments we may share your information with the new broker-dealer or custodian that you or your representative selects. If our representative servicing your account leaves us to join another broker-dealer, the representative is permitted to retain copies of your information so that he or she can assist with the transfer of your account and continue to serve you at their new firm. The representative’s continuing use of your information will be subject to the new firm’s privacy policy.

We may disclose information such as your name, address, Social Security number, date of birth, transactional information or other financial information when necessary for us to provide you with financial products and services, report on your account or when disclosure is prescribed by law. For example, we report your tax related information to federal and state governments, and we may disclose information during the course of an audit or to law enforcement or regulatory agencies.

We do not disclose your information to nonaffiliated companies identified above who intend to only market their products to you. For example, we will not sell clients’ names and addresses to catalogue or marketing companies.

We may also enter into an information sharing agreement with your employer or its contracted third party administrator.

We make this type of disclosure to better service your PlanMember account or to inform you about PlanMember products and services. Before disclosing your information, nonaffiliated third parties are required to promise to keep your information confidential.

Opting-In
If you live in an “opt-in” state where we are required to obtain your affirmative consent to share your nonpublic personal information with unaffiliated third parties who do not currently assist us in servicing your account, we will obtain your consent before we allow your representative to take your information with him or her should your representative leave PlanMember. Please note that you can withdraw your consent at any time by contacting us at (800) 874-6910.

Opting-Out
If you live in an “opt-out” state and do not want your representative to take your information with him or her should your representative decide to leave PlanMember in the future, you have the right to opt-out of such disclosure. If you have a joint account, we will treat an opt-out direction by a joint customer as applying to all associated joint customers. If you wish to opt-out now or at any time in the future, please contact us at (800) 874-6910.

Securing Your Information
Our staff, affiliates and representatives who have access to your information are required to follow our procedures reasonably designed to keep your information secure and confidential. Our physical, electronic and procedural safeguards have been reasonably designed to protect your information.

Cookies
PlanMember uses cookies to track usage of the website and to address security issues. We may also use cookies to store your preferences relating to 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.

Questions
You do not have to contact us to benefit from PlanMember’s privacy protection as it applies automatically to all of our customers and former customers. However, if you have any questions after reading this privacy policy, we encourage you to contact your PlanMember Financial Professional, write to us at PlanMember Services Corporation 6187 Carpinteria Ave., Carpinteria, CA 93013, or call us at (800) 874-6910.

Business Continuity

Information Notice

At PlanMember Securities Corporation, we recognize how heavily our clients rely on our services. We also recognize that the unexpected can and does occur from simple power outages to major incidents affecting multiple websites or locations. PlanMember Securities Corporation wants you to know that we have plans in place to help safeguard your assets and protect vital account information in the event of a business disruption.

PlanMember Securities Corporation has developed corporate disaster recovery plans that include the ability to recover from various situations including, but not limited to, unplanned evacuations, power outages, fire, earthquake and facilities failures that may cause interruptions to our business. Our plans address the ability to recover critical functions according to their time criticality. In order to maintain secure and effective plans, PlanMember Securities Corporation does not provide the specific details in this notice, but you should be aware that PlanMember Securities Corporation’s corporate disaster recovery planning includes the following:

  • Back up and recovery of critical information
  • Identification and recovery of mission critical systems
  • Alternate communications between PlanMember Securities Corporation and its customers
  • Alternate communications with and physical location for its employees
  • Regulatory reporting and communications
  • Systems and telecommunications accessibility
  • Review of financial and operational risks

Contacting Us
In the event of a significant business disruption where you cannot contact us as you normally would, you should contact our direct number at (800) 874-6910, or visit www.planmemberfinancial.com. If the magnitude of the disruption prohibits you from contacting us using these methods, your next alternative is to contact the PlanMember Financial Professional who appears on your current statement, or the mutual fund or insurance company directly. Contact numbers for these mutual fund and insurance companies are available on the Internet or in the individual prospectus supplied to you.

Please note that the PlanMember Securities Corporation Business Continuity Plan is reviewed regularly to ensure that it accounts for technology, process and regulatory changes. Material changes to our plan will be reflected in an updated Business Continuity Information Notice which will be posted on our website and delivered to customers when accounts are established. You may obtain a current written copy of this notice by contacting your PlanMember Financial Professional or us directly at (800) 874-6910.