C. E. Humphrey
Associates, Inc. ("C. E. Humphrey") believes it is essential
that we maintain the privacy of the
nonpublic personal information that you provide to us and that
we obtain in connection with providing our products and services
C. E. Humphrey limits the use, collection, and retention of such
information to what we believe is necessary or
useful to conduct our business and to provide and offer you
quality products and services, as well as other
opportunities that may be of interest to you. Information
collected may include, but is not limited to name,
address, telephone number, tax identification number, date of
birth, employment status, annual income, and net
In providing products and services to you, we collect nonpublic
personal information about you from the following
1. Information we receive from you on applications or other
forms (e.g. investment/insurance applications, new
account forms, and other forms and agreements);
2. Information about your transactions with us or others (e.g.
broker/dealers, clearing firms, or other chosen
investment sponsors); and
3. Information we receive from consumer reporting agencies (e.g.
credit bureaus), as well as other various
materials we may use to put forth an appropriate recommendation,
or to fill a service request.
C. E. Humphrey places strict limits on who receives specific
information about your account(s) and other
personally identifiable data. As a rule, we do not disclose
nonpublic personal information we collect to others.
However, because we rely on certain third parties for services
that enable us to provide our advisory services to
you, such as our attorneys, auditors, other consultants,
brokers, and custodians who, in the ordinary course of
providing their services to us, may require access to
information, we may share non-public personal information
with such third parties. Additionally, we will share such
information where required by legal or judicial process,
such as a court order, or otherwise to the extent permitted
under the federal privacy laws.
We may also disclose such information to others upon your
instructions below listing applicable persons and you
may amend this provision, and/or rescind your request at any
time in writing. Your signature below indicates your
understanding and acceptance that we may share such information.
We restrict access to nonpublic personal information about you
to those persons associated with C.E. Humphrey, who need access
to such information in order to provide our products or services
to you. We maintain physical, electronic, and procedural
safeguards that comply with federal standards to guard your
nonpublic personal information.
If you decide to close your account(s) or become an inactive
client, we will adhere to the privacy policies and
practices as described in this notice.
C. E. Humphrey reserves the right to change these Privacy
Principles, and any of the policies or procedures
described above, at any time without prior notice. However, you
will be promptly provided with a current copy of
our privacy notice upon material changes or upon request. So
long as you remain an active client, you will receive a current
copy of our privacy notice at least annually. These Privacy
Principles are for general guidance and do not constitute a
contract or create legal rights, and do not modify or amend any
agreements we have with you.
to amend or rescind your written instructions at any time,
please call Charles E. Humphrey at (603) 435 7755 or via e-mail