Important Information About Procedures for Opening a New Account

To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. What this means for you: When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver’s license or other identifying documents.

Information that We Collect:

Finance 500 and Bridgewater Capital Corporation collect nonpublic information from the following sources:

• Information we receive from you or those you authorize on applications or other forms;
• Information relating to your transactions with us or others;
• Information which may be received from other sources with your consent or with the consent of your introducing broker.

Safeguarding your Privacy:

It is our policy that no representative or affiliated individual disclose any nonpublic personal information to anyone, except as permitted or required by law. Finance 500 and Bridgewater Capital Corporation do not sell your personal information.

Finance 500 and Bridgewater Capital Corporation restrict access to personal and account information to those employees who need to know that information to provide products or services. Finance 500 and Bridgewater Capital Corporation maintain physical, electronic, and procedural safeguards to guard nonpublic information.

Additionally should a client decide to close their account(s) or become an inactive customer, we will adhere to the privacy policies described in this notice.

Finance 500 and Bridgewater Capital Corporation – Privacy Policy

In addition to providing this privacy policy at the time you open an account, on an annual basis, the Compliance Department will instruct Finance 500’s Clearing Firm, Apex Clearing, to send copies of this Policy to all Clients. Apex Clearing’s privacy policy can be viewed via www.apexclearing.com or by calling 888-268-6220.

Verifying and Ensuring the Accuracy of Your Personal Information

Always review documents that Finance 500 sends you to ensure that your personal information is correct. If you ever discover an error in your personal information, please contact your representative immediately to correct the error.

Requests for Further Information

Finance 500, Inc. reserves the right to make changes to this policy. For more information relating to Finance 500’s privacy policy, please contact: Finance 500, Inc. Attn: Compliance Department 19762 MacArthur Blvd., Suite 200, Irvine, CA 92612 or call 800-477-6266.

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