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October 2008
Andrews Securities, LLC is a registered broker-dealer. Andrews Securities, LLC recognizes that protecting the privacy and security of
the confidential personal information we collect about you is an important responsibility. The following information will help you
understand our privacy policy and how we handle and maintain confidential personal information as we fulfill our obligations to
protect your privacy. “Personal information” refers to the nonpublic financial and personal information obtained by us in connection
with providing you a financial product or service. In the event you terminate your customer relationship with us, or become an
inactive customer, we will continue to adhere to the policies and practices described in this notice.
Information We Collect About You
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.
We collect personal information to help us serve your financial needs, offer new products or services, provide customer service and
fulfill legal and regulatory requirements. The type of information that we collect varies according to the products or services involved,
and may include:
• Information we receive from you on applications and related forms; and
• Information about your transactions and relationships with us, our affiliates or with non-affiliated third parties (such as products or
services purchased, history of investments).
Information We Disclose About You and To Whom
WE DO NOT SELL OR RENT YOUR PERSONAL INFORMATION TO ANYONE
We do not disclose nonpublic personal information about current or former customers to any non-affiliated third parties unless
required by law, or for certain limited purposes as permitted by law. In the normal course of business, personal information may be
shared with persons or entities involved in servicing and administering products and services on our behalf, including: your
consultants, prime broker, counsel, custodian/administrator, investment advisor or any other named fiduciary of your account or
other service providers and affiliates assisting us.
We Protect Your Information
We maintain strict practices and procedures that limit access to personal information to those employees and service providers who
need to know such information in order to perform business services on our behalf. We educate our employees on the importance of
protecting the privacy and security of confidential personal information. We also maintain physical, electronic and procedural
safeguards that comply with federal and state regulations to safeguard your personal information.
We will update our policy and procedures where necessary to ensure that your privacy is maintained and that we conduct our business
in a way to fulfill our commitment to you. If you should have any
questions or concerns regarding our policy, please contact Tabitha Aspling at (720) 489-490 or tra@andrewssecurities.com.
FINRA Regulation Public Disclosure Program
The Financial Industry Regulatory Authority (FINRA) has available an investor brochure that descries the FINRA Regulation's Public
Disclosure Program. To obtain a brochure or request more information, contact the FINRA Regulation Public Disclosure Hotline at
(800) 289-9999 or access the FINRA Regulation Web site at http://www.finra.com.
Securities Investor Protection Corporation (SIPC)
Information regarding SIPC, including a SIPC brochure, can be obtained by contacting SIPC at (202) 371-8300 or visiting
www.sipc.org.
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