S-P Disclosure
Under Securities and Exchange Commission Rule 14B-1(c), we will be obligated to provide your name, address and securities positions to each requesting company whose securities we hold for your account unless you object to such disclosure. The Rule prohibits companies from using any information so obtained for any purpose other than communicating with you. If you object to the disclosure of your name, address and securities positions, you must contact us at:
Jack V. Butterfield Investment Co
100 S. Jackson Suite 100
Jackson, Mi 49201
517-787-2430
Privacy Notice
Jack V. Butterfield Investment Company is a full service brokerage firm. We can offer you a variety of investment products: stocks, bonds, mutual funds, tax-free investments, annuities, IRA’s and IRA rollovers, SEP Plans, 403(b)’s, Simple plans and 401(k) retirement plans. In order to provide these products, we partner with agencies such as RBC Correspondent Services for our trade clearance and The American Funds Group for mutual fund purchases. The information we collect from you is gathered primarily from our new account form and a personal interview when you establish an account with our company. This includes such information as your name, address, social security number and financial information. In addition, we maintain records of each of your transactions and holdings with Jack V. Butterfield Investment Company. To whom we disclose the information. We provide information about current or former clients to other parties out-side of Jack V. Butterfield Investment Company only as described below: To companies with whom we have joint marketing agreements. A joint marketing agreement is one in which another financial institution offers a product or service jointly with Jack V. Butterfield Investment Company, such as providing VISA card access to your brokerage account. These institutions are prohibited by agreement from using information about you except for the narrow purpose for which we gave it to them. To other companies as necessary to process your business. For example, RBC Correspondent Services to clear your trades. Also, your account and transactional information is transmitted to the company that prints your account statements. Third parties in this category, like those in the category above, must limit their use of the information to the purpose for which it was provided. Where required by law or regulation. Examples include responses to a subpoena, court order or regulatory demand. As authorized by you. You may direct us, for example, to send your account statements and trade confirmations to a third party. As otherwise authorized or permitted by law. For example, the law permits us to respond to a request for information about you from a consumer-reporting agency. Confidentiality and security. We restrict access to information about you to those employees and authorized agents who need to know that information in order to provide products or services to you. We maintain physical, electronic and procedural safeguards to maintain the confidentiality of your information. If you have any questions or concerns regarding this privacy notice, please do not hesitate to call our office.
Sincerely,
Jack V. Butterfield Investment Company
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