Privacy Policy

Capital Financial Holdings, Inc. understands your concerns about safeguarding information about you and your account(s) and considers the privacy of our shareholders to be of fundamental importance. We have established the following standards to safeguard the personal and confidential information you entrust to us.

1. Collection of Information

While we do not sell any nonpublic personal information about our customers or former customers to third parties, we do collect and retain such information about you including:

Information from applications or other forms, such as you and your spouse’s names, occupations, street address and social security numbers;

Information regarding your financial position, investment experience and objectives; and

Information about your transactions with us, our affiliates, or others, such as your account balance and transaction detail.

2. Disclosure of Information

Disclosure of nonpublic personal information to affiliates is often necessary to conduct our business. We have also disclosed such information to third parties as permitted by law. Some instances when we have provided information to nonaffiliates include:

Disclosing information necessary to process and service account transactions that you authorize;

Disclosing your name and address to third parties who assist with mailing fund-related materials such as shareholder reports; and

Disclosing information as required by regulatory or law enforcement agencies or with others as permitted by law.

3. Confidentiality and Security

We maintain physical, electronic and procedural safeguards to ensure the integrity of your personal information.

4. Limited Access to Information

Access to your nonpublic personal information is limited to authorized employees, affiliates and third parties. The information will then only be used for authorized purposes such as maintaining or servicing your account(s) or as otherwise permitted by law.

5. Further Information

If you have any questions about our privacy policy, please call us at (800) 601-5593.

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