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January 2008
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Burnham Financial Group honors your relationship with us, and we respect the confidentiality and
security of your private personal and financial information. Our Privacy Policy is in place to
protect your information while serving your investment needs.
We ask for personal information about you when you open an account with our firm. This
information may include your name, address, social security number, account statements, and
information from third parties such as other banks or brokerage firms, accountants and attorneys.
We use this information to evaluate and serve your financial needs, to fulfill your investment
requests and complete your transactions.
Burnham Asset Management Corp. and Burnham Securities Inc. contract with other firms in order
to provide you with a full range of services, and we may share aspects of your personal
information in the course of conducting your business. For accounts at Burnham Securities Inc.,
this includes our clearing firm, Bear Stearns Securities Corp., and other firms with whom we may
trade securities on your behalf. For Burnham Asset Management, this may include Burnham
Securities and Bear Stearns, or other brokerage concerns, plus outside custodial agents as you
may direct. We will not sell, market or otherwise disclose any information about you or your
account to any third party or individual.
In order to service your account, we may need to work with unaffiliated parties for services such
as account maintenance or administration. We maintain strict guidelines reflecting their business
standards and their privacy policies. We also restrict access to your nonpublic, personal
information to those employees, agents and parties who need to know the information in order to
process your transactions or supervise your account. If you ask us to provide information to one
of your agents, for example your accountant or attorney, we will honor that request. Our industry
is regulated, and at times we are obliged to disclose information during routine audits by U.S.
government regulators, the National Association of Securities Dealers Inc., or other official
regulatory agencies. The purpose of these audits is to review our firms’ compliance with the rules
and regulations of our industry, to detect fraud or unauthorized transactions, or to comply with a
court order.
We also maintain safeguards that comply with federal and technological standards to safeguard
your data. We regularly evaluate and update our systems to ensure the highest levels of security.
If you have any questions, please do not hesitate to contact your account representative.
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