SEC Regulation S-P requires brokerage firms to inform clients of their policies and practices regarding the handling of client information. Please take a few moments to read how Amuni Financial, Inc. protects the confidentiality of your information.

In the course of conducting business, Amuni Financial, Inc. collects personal information to provide products and services and to comply with regulatory requirements. This information may include your name, address, Social Security number, assets, income, and investment history.

Safeguarding Your Information

We maintain administrative, technical, and physical safeguards designed to protect your nonpublic personal information from unauthorized access, use, or disclosure. These safeguards are part of our written supervisory procedures and are regularly reviewed and updated.

• Access to customer information is limited to employees and representatives who need it to provide products and services to you.
• Employees with access to customer information are required to maintain its confidentiality and protect it in accordance with our policies.

Sharing of Information

In the course of regular business activity, it may be necessary to disclose some or all customer information. When this occurs, information is disclosed only as permitted or required by law, including:

• In response to a subpoena or legal process
• To comply with a request from a government agency or regulator
• To provide customer service or account maintenance through our service providers, such as mutual fund companies, annuity companies, and transfer agents

We require our service providers to maintain the confidentiality of customer information and use it only for the services they provide to us. Except as described above, it is our policy not to share nonpublic personal information with nonaffiliated third parties.

Your Right to Opt Out

If you prefer that we not disclose your nonpublic personal information to nonaffiliated third parties (other than as permitted by law), you may opt out of those disclosures by calling 1-800-868-6864.

Information Security and Incident Response

We have procedures in place to detect, respond to, and recover from events that may involve unauthorized access to customer information. If we determine that your personal information has been accessed or used without authorization, we will notify you as required by applicable law. We retain customer information only as long as necessary for business or regulatory purposes and dispose of it using secure methods designed to protect against unauthorized access.

USA Patriot Act

As required by Section 326 of the USA PATRIOT Act, brokerage firms must verify the identity of their clients. To comply with this requirement, Amuni Financial, Inc. may provide certain identifying information to a third-party verification service. This information is used solely for identity verification purposes. Amuni Financial, Inc. does not sell customer information to third parties.

Notice to Clients

Amuni Financial, Inc. is a regulated securities broker-dealer. We are registered with the Securities and Exchange Commission (SEC) and the Municipal Securities Rulemaking Board (MSRB), and we are a member of the Financial Industry Regulatory Authority (FINRA). We are also registered with various state securities regulatory agencies.

An investor brochure is available from the MSRB at www.msrb.org, which includes information about investor protections and how to file a complaint with the appropriate regulatory authority.