To Our Clients:

SEC Regulation SP requires that brokerage firms inform clients of their policies and practices regarding its handling of client information. Please take a few moments to read how American Municipal Securities protects the confidentiality of your client information.

Privacy Policy

In the course of regular business practices, American Municipal Securities, Inc. (AMS) will collect information in order to better serve our customers and to comply with regulatory requirements. This information may include name, address, social security number, assets, income, investment history etc… Customers can be assured that AMS has established the following rules as it pertains to this information:

• Access to customer information is for business purposes only.
• Access will be limited to those employees who are needed to assist your broker in
  providing products and services to you.
• AMS employees granted access are required to protect it and hold it confidential.

In the course of regular business activity, it may become necessary to disclose some or all customer information. In this event, customers can be assured that information was disclosed for one of the following purposes:

• In response to a subpoena.
• To comply with an inquiry by a government agency or regulator.
• To provide customer service or account maintenance to our financial service providers such as mutual fund companies, annuity companies, and transfer agents.

For the protection of our customers, unless one of the above mentioned circumstances occurs, it is the policy of AMS not to share customer information with any third parties.

If you prefer that we not disclose nonpublic personal information about you to nonaffiliated third parties, you may opt out of those disclosures, that is, you may direct us not to make those disclosures (other than disclosures permitted by law). If you wish to opt out of disclosures to non affiliated third parties, you may call 1-800-868-6864 and ask for the opt out department.