Privacy

FACTS: WHAT DOES SIPPICAN CAPITAL ADVISORS LLC DO WITH YOUR PERSONAL INFORMATION?

 

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.

 

What?

The types of personal information we collect and share depend on the product or service you have with us. This information can include:

 

• Social Security number and income

• investment experience and risk tolerance

• assets and account balances

 

When you are no longer our customer, we continue to share your information as described in this notice.

 

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 Sippican Capital Advisors LLC chooses to share; and whether you can limit this sharing.

 

REASONS WE CAN SHARE YOUR

PERSONAL INFORMATION

Does Sippican Capital

Advisors LLC 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

 

For our marketing purposes-

to offer our products and services to you

 

For joint marketing with other financial companies

 

For our affiliates’ everyday business purposes-

Information about your transactions and experiences

 

For our affiliates’ everyday business purposes-

information about your creditworthiness

 

For nonaffiliates to market to you

 

Yes

 

 

 

 

No

 

 

No

 

No

 

 

No

 

 

No

 

Yes

 

 

 

 

We don’t share

 

 

We don’t share

 

We don’t share

 

 

We don’t share

 

 

We don’t share

 

WHAT WE DO

How does Sippican Capital LLC protect

my personal information?

 

 

 

 

 

How does Sippican Capital LLC collect

my personal information?

 

 

 

Why can’t I limit all sharing?

 

 

To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.

We also execute confidentiality agreements with companies we hire to help us provide services to you, and have strict confidentiality policies that apply to all of our employees.

 

We collect your personal information, for example, when you

• open an account or seek advice about your investments

• direct us to buy securities or direct us to sell your securities

• enter into an investment advisory contract

 

Federal law gives you the right to limit only

• sharing for affiliates’ everyday business purposes – information about your creditworthiness

• 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.

 

DEFINITIONS

Affiliates

 

 

 

Nonaffiliates

 

 

 

 

Joint Marketing

 

 

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

• Sippican Capital Advisors LLC has no affiliates

 

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

• Sippican Capital Advisors LLC does not share with nonaffiliates so they can market to you

 

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

• Sippican Capital Advisors LLC doesn’t jointly market

QUESTIONS?

Call (857) 263-8101