Download this Privacy Notice as a PDF for printing and mailing.

WHO WE ARE

Who is providing this notice?

Private Advisor Group, LLC, a registered investment advisor.

We do not have any affiliates under common ownership or control, but our investment advisor representatives may also be representatives or agents of other companies including LPL Financial, and insurance or banking companies.

FACTS
What does Private Advisor Group do with your personal information?

How does Private Advisor Group protect my personal information?

We are required by federal law to protect your confidential information from unauthorized access and use. We use administrative and technical methods to protect your information, including rules and procedures and computer safeguards.

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.

How does Private Advisor Group collect my personal information?

We collect your personal information, for example, when you:

  • Open an account
  • Apply for insurance
  • Seek advice about your investments
  • Enter into an investment advisory agreement
  • Tell us about your investment or retirement portfolio

We also collect information from others, such as when the custodian holding your assets is authorized by you to send us updates about your portfolio.

What?

The types of personal information we collect can include:

  • Social Security Number
  • Income
  • Assets
  • Investment experience
  • Account transactions
  • Retirement Assets

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 their customers’ personal information, the reasons Private Advisor Group chooses to share personal information and whether you can limit this sharing.

Why can’t I limit all sharing?

Federal law gives you the right to limit only:

  • Sharing for affiliates’ everyday business purposes – information about yourcreditworthiness
  • Affiliates from using your information to market to you
  • Sharing for nonaffiliates to market to you
  • State laws and individual companies may give you additional rights to limit sharing. Seebelow for more on your rights under state law.

REASONS WE CAN SHARE YOUR PERSONAL INFORMATION

Does Private Advisor Group 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.

Yes

No

For our marketing purposes to offer products and services to you.

No

We don’t share

For joint marketing with other financial companies

Yes

No

For nonaffiliates to market to you – for clients with accounts established with Private Advisor Group representatives at banks or credit unions

No

We don’t share

For nonaffiliates to market to you – for clients with accounts established with Private Advisor Group independent representatives.

Yes*

Yes

* If your representative terminates his or her relationship with us and moves to another brokerage or investment advisory firm, we or your representative may disclose your personal information to the new firm unless you instruct us not to by returning the completed Privacy Choices Notice form attached to this notice.

DEFINITIONS

What does Private Advisor Group do with your personal information?

Affiliates

Companies related by common ownership or control. They can be financial or nonfinancial companies.

Private Advisor Group does not have any affiliates under common ownership or control, but our investment advisor representatives may also be representatives or agents of other companies including LPL Financial, and insurance or banking companies.

Nonaffiliates

Companies not related by common ownership or control. They can be financial or nonfinancial companies.

Private Advisor Group does not share with nonaffiliates so they can market to you.

Joint Marketing

A formal agreement between nonaffiliated financial companies that together market financial products or services to you:

This may include banks, credit unions, or other financial institutions with which we have a joint marketing agreement.

QUESTIONS?

For more information, go to www.PrivateAdvisorGroup.com or contact Chief Compliance Officer, James Hooks, 973-538-7010, [email protected].

IMPORTANT INFORMATION

Information for Vermont Customers – In response to Vermont regulation, if we disclose personal information about you to nonaffiliated third parties with whom we have joint marketing agreements, we will only disclose your name, address, other contact information, and information about our transactions or experiences with you.

Information for California Customers – In response to California law, we automatically treat accounts with California billing addresses as if you do not want to disclose personal information about you to nonaffiliated third parties except as permitted by the applicable California law.

Information for Alaska Customers – In response to Alaska law, if your financial advisor terminates his or her relationship with us and moves to another brokerage or investment advisory firm and your primary address is in Alaska, you must give your written consent before we will allow your financial advisor to take any of your personal information to his or her new brokerage or investment advisory firm.

Download this Privacy Notice as a PDF for printing and mailing.