A Firm Dedicated to Providing Investment and Financial Planning Advice

Dear Valued Client,

Thank you for entrusting us to advise you regarding the investment of your hard-earned money.  We recognize that you have shared confidential information about you and your family with us, and we want you to know that we will protect your right to privacy.  Accordingly, we have established the following privacy policy to maintain the security, integrity and confidentiality of your personal financial information:

·        We do not sell information about our current or former clients or their accounts to third parties.

·        We will provide such information to a person or organization only as required to complete transactions at your request or to make you aware of investment products or financial services that we offer.  For example, to open an account on your behalf, rollover your existing IRA, or sell one of your mutual funds, we must inform the custodian.  In that case, we will provide the third party with only the information necessary to carry out its assigned duties, and we require the third party to hold your private information with the same degree of confidentiality that we do.

·        We will permit only authorized personnel who are properly trained in handling personal information to have access to such information.

·        We will not share personal medical information about any client for any purpose other than to assist you in obtaining insurance, or in the administration of your account or insurance policy, or as disclosed to you when the information is collected, or to which you consent.

·        We will release confidential information at your express direction, if we are compelled to do so by subpoena or in other legally limited circumstances.

As required by Federal law, we will inform you of our privacy policy annually.  While we reserve the right to modify this policy at any time, we will immediately notify you of any changes.

                                                                                                Very truly yours,

                                                                                                Alan J. Popa

Popa & Associates, P.C.

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