McAuliffe Financial Services, Inc. Privacy Policy

McAuliffe Financial Services, Inc. strongly believes in protecting the confidentiality and integrity of client information. We have long respected the sensitivity of the information with which clients entrust us and will continue to do so. The Privacy Policy describes how we collect and safeguard client information. Safeguarding Customer Documents We collect non-public customer data in checklists, forms, in written notations, and in documentation provided to us by our clients for evaluation, registration, licensing or related consulting services. We also create internal lists of such data. During regular business hours access to customer records is monitored so that only those with approval may access the files. During hours in which the company is not in operation, the customer records will be locked. No individual who is not so authorized shall obtain or seek to obtain personal and financial customer information. No individual with authorization to access personal and financial customer information shall share that information in any manner without the specific consent of a firm principal. Failure to observe McAuliffe Financial Services, Inc. procedures regarding client and consumer privacy will result in discipline and may lead to termination. Sharing Nonpublic Personal and Financial Information McAuliffe Financial Services, Inc. is committed to the protection and privacy of its clients’ and consumers’ personal and financial information. McAuliffe Financial Services, Inc. will not share such information with any affiliated or nonaffiliated third party except: When necessary to complete a transaction in a client account, such as with the clearing firm or account custodians; When required to maintain or service a client account; To resolve client disputes or inquiries; With persons acting in a fiduciary or representative capacity on behalf of the client; With rating agencies, persons assessing compliance with industry standards, or to the attorneys, accountants and auditors of the firm; To protect against or prevent actual or potential fraud, identity theft, unauthorized transactions, claims or other liability; To comply with federal, state or local laws, rules and other applicable legal requirements; In connection with a written agreement to provide investment management or advisory services when the information is released for the sole purpose of providing the products or services covered by the agreement; In any circumstances with the client’s instruction or consent; or Pursuant to any other exceptions enumerated in the California Information Privacy Act. Opt-Out Provisions It is not a policy of McAuliffe Financial Services, Inc. to share nonpublic personal and financial information with affiliated or unaffiliated third parties except under the circumstances noted above. Since sharing under the circumstances noted above is necessary to service client accounts or is mandated by law, there are no allowances made for clients to opt out.