Privacy Notice — Stolzer Rothschild Levy LLC

Federal Privacy Notice — FACT Act

What does Stolzer Rothschild Levy LLC 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:

– Social Security number and employment information
– Assets and income
– Investment experience and risk tolerance

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 your personal information; the reasons SRL chooses to share; and whether you can limit this sharing.

Information sharing practices

Reasons we can share your personal information	Does SRL 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 or as required by law.	Yes	No
For our marketing purposes — to offer our products and services to you.	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.	No	We don’t share
For our affiliates to market to you	No	We don’t share
For non-affiliates to market to you	Yes*	Yes
* If your Wealth Manager terminates his or her relationship with us, we may allow your Wealth Manager to take your personal information and disclose it to any new firm he or she joins. We may also directly disclose your personal information to any new firm your Wealth Manager joins. You may limit this sharing by returning the completed Privacy Choice Notice Form below.

Who we are & what we do

Who is providing this notice?	Stolzer Rothschild Levy LLC
How does SRL 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.
How does SRL collect my personal information?	We collect your personal information, for example, when you: – Open an account or enter into an investment advisory contract – Seek advice about investments or direct us to buy securities – Give us your contact information We also collect your personal information from others, such as 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 non-affiliates to market to you State laws and individual companies may give you additional rights to limit sharing.
What happens when I limit sharing for a joint account?	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. SRL has no affiliates.
Non-affiliates	Companies not related by common ownership or control. They can be financial and nonfinancial companies. SRL may share information with non-affiliates including custodians, technology vendors, or other service providers we may use on your behalf.
Joint marketing	A formal agreement between nonaffiliated financial companies that together market financial products or services to you. SRL does not jointly market with others.

Other important information

Do Not Call Policy. This notice is the SRL Do Not Call Policy under the Telephone Consumer Protection Act. We do not solicit via telephone numbers listed on the state or federal Do Not Call lists, unless the law allows. SRL employees receive training on how to document and process telephone marketing choices. No telemarketing calls will be made to residential or cellular phone numbers that appear on SRL’s Do Not Call list.

Affirmative Consent. In response to applicable state law, if the mailing address provided for your account is in a state that requires affirmative consent — including but not limited to California, North Dakota, and Vermont — we will automatically treat your account as if you do not want us to disclose your personal information to non-affiliated third parties for purposes of them marketing to you, unless we receive your affirmative consent to do so.

Privacy Choice Notice — Opt-Out Form

If you would like to limit the personal information that your Wealth Manager is permitted to disclose or take if he or she terminates his/her relationship with all SRL entities, please complete and mail the following information:

To opt out, please provide the following in writing:

Check the box (or state clearly in writing): “Do not share my personal information with nonaffiliates to market their products and services to me.”

Please include: your name, address, city/state/zip, phone number, and the name of your SRL Wealth Manager, along with your signature and date.

You can withdraw your opt-out choice at any time by contacting us in writing. Please note that for joint accounts, the privacy choice made by any account holder applies to all joint holders with respect to the account.

Mail your completed opt-out request to:

Opt-Out Options
Stolzer Rothschild Levy LLC
233 Mt. Airy Rd, Suite 100
Basking Ridge, NJ 07920

If your primary address is in a state that requires affirmative consent to share your personal information with a non-affiliated firm, you will be requested to give affirmative consent before your Wealth Manager takes or shares your information with the new firm.

Questions? Call (732) 481-2200 or visit srlam.com.