Privacy Policy - Annex Wealth Management

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Facts

What does Annex Wealth Management, LLC do with your personal information?

Why?	Annex Wealth Management, LLC. (Annex) chooses how we share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.
What?	The types of personal information we collect, and share depend on the product or service you have with us. This information can include: Personal information including client's identity, name, address, email address, telephone number, social security number, date of birth, driver's license number and passport information and other information that permits us to contact or communicate with you; Salary, employment, occupation, and tax information Information regarding insurance, securities, and other financial transactions and accounts; Financial information such as net worth, assets, income, financial statements, holdings reports, investment records, investment experience, liquidity needs, bank account information, account balances, and other similar information you may elect to supply to us
How?	Annex needs to share customers' personal information to run their everyday business. In the section below, we list the reasons Annex can share their customers' personal information; the reasons Annex chooses to share; and whether you can limit this sharing. No mobile information will be shared with third parties/affiliates for marketing/promotional purposes. All other categories exclude text messaging originator opt-in data and consent; this information will not be shared with any third parties.

Reasons we share your personal information	Does Annex share?	Can you limit this sharing?
For our everyday business purposes— to perform services for you or functions on your behalf, including; Sub-advisors, insurance companies, and other investment companies that provide investment management services; Qualified Custodians, Clearing firms and Broker/Dealers we direct transactions through; Companies that provide portfolio accounting, modeling, rebalancing, billing, and performance reporting services, Companies that assist us in maintaining books and records, meet regulatory requirements, and independent audit functions; Federal, State or other agencies with regulatory authority over us, where required by laws or regulation; Other third-party service providers including those companies, associations, agencies, institutions, and third parties who provide client relationship management systems, paperless account opening, application integration, IT support, cybersecurity, redundancy support, secured voice and data platforms and email retention Companies with whom we have entered a confidential memorandum to explore potential opportunities, mergers, and/or acquisitions	Yes	No
For our marketing purposes— to offer our products and services to you including Companies that facilitate mailings or publications on our behalf	Yes	No
For joint marketing with other financial companies	No	No
For our affiliates' everyday business purposes— information about your transactions and experiences	Yes	No
For our affiliates' everyday business purposes— information about your creditworthiness	No	We don't share
For our affiliates to market to you	Yes	No
For nonaffiliates to market to you	No	We don't share

Who We Are
Who is providing this notice?	Annex Wealth Management, LLC.
What We Do
How does Annex Wealth Management, LLC protect my personal information?	In order to protect your personal information, we maintain physical, electronic and procedural safeguards reasonably designed to prevent unauthorized use or access and protect your personal information. Internally, your information is available to employees and management of the firm in order that we may provide services to you, and those employees fulfilling compliance, legal, internal review, risk management, control, and audit functions. Our computer system utilizes high-level encryption and password protection to prevent access by unauthorized persons, and we may employ the physical, electronic, and procedural safeguards to protect your personal information in accordance with state and federal privacy regulations. Our Privacy Policy restricts the use of client information and requires that it be held in strict confidence. Where we share your nonpublic personal information with a nonaffiliated third party, Annex has entered into a contractual agreement with the third party that prohibits the third party from disclosing or using the information other than to carry out the purposes for which Annex disclosed the information. Each contractual agreement requires the nonaffiliated third party to acknowledge and consent that (i) it is in receipt of the other Party's Confidential Information; (ii) it pledges that it has adequate controls in place to protect Confidential Information; (iii) it will use such Confidential Information only as directed by the disclosing Party and this Agreement; and, (iv) that it will only use the Confidential Information for the purpose for which it has been engaged.
How does Annex Wealth Management, LLC collect my personal information?	We collect your personal information, for example, when you: Complete account forms, investor profiles, statements of investment selection, applications, questionnaires, contracts, and other forms Information we receive from you when you communicate with us through personal contact, in writing, electronically, by telephone, through our website, or whenever you communicate with us or request information from us; Your business dealings and transactions with us, our affiliates, investment managers with which we have sub-advisor contracts, current and former account custodians, billing and reporting service providers, client relationship providers, our unaffiliated broker/dealer, product sponsors whose products you own, and other arrangements we have entered into to provide services to you
Why can't I limit all sharing?	Federal law gives you the right to limit only: sharing of information about your creditworthiness to or for affiliates' everyday business purposes sharing to affiliates for marketing to you sharing for nonaffiliates to market to you State laws and individual companies may give you additional rights to limit sharing.
Definitions
Affiliates	Companies related by common ownership or control. They can be financial and nonfinancial companies. Annex Insurance Services, LLC, Annex Charitable Foundation, Annex Tax Services, LLC., Maller Peterson, LLC.
Nonaffiliates	Companies not related by common ownership or control. They can be financial and nonfinancial companies. Annex Wealth Management LLC does not share with nonaffiliates for marketing purposes.
Joint marketing	A formal agreement between nonaffiliated financial companies that together market financial products or services to you. Annex Wealth Management LLC does not engage in joint marketing.
Additional Information
Other important information	Annex Ignite® is a brand name of Annex Wealth Management, LLC. Annex is otherwise permitted 17 CFR §§ 248.13, 248.14, and 248.15; exceptions to opt out agreements.
Questions?	Call 262-786-6363 or go to www.annexwealth.com