Privacy and Policies Notice

Privacy Policy:

We at Prentiss Smith & Company, Inc. are committed to maintaining the confidentiality and security of personal information gathered from potential, current and former customers. The proper handling of personal information is one of our highest priorities. As a valued customer who provides us with nonpublic personal information, we want you to know why we need this information and we want to explain our commitment to protecting the data you provide.

We collect and maintain only information necessary for us to be able to provide the services requested by you. We collect this data mainly from the application forms you complete when entering into a relationship with us, and from on going transactions within the accounts that we manage. The nonpublic personal information consists mainly of the following:

Name, Address, Social Security Number, Assets, Birth Date, Employment Information, Financial Goals, Income Requirements

We will only disclose the nonpublic personal information we obtain to your asset custodian and to security regulatory agencies. We will, at your discretion, release this information also to your accountant and/or attorney.

We do not share nonpublic personal information about former customers to anyone, unless directed by you, the customer.

We do not engage in third party marketing arrangements.

Only employees of our company and our software consultant have access to your nonpublic personal information. All employees who work with confidential information are educated on the importance of maintaining the confidentiality and security of the information and are required to abide by our information handling policies. We have a signed confidentiality agreement with our software consultant.

We will, upon a customer's written request, release nonpublic personal information to nonaffiliated third parties.

We recognize and respect the privacy concerns of potential, current and former customers, and are committed to safeguarding nonpublic personal information. We maintain security standards to protect your information, and maintain our systems to ensure the integrity of the information.

Regulations:

Prentiss Smith & Company, Inc. is registered with the US Securities and Exchange Commission (SEC) as an investment adviser under the Investment Advisers Act of 1940.

Legal Disclaimers:

No guarantee is made as to the accuracy, completeness or timeliness of any information, projections or opinions contained in this web site or upon which any such projections or opinions have been based. The information contained in this web site is compiled for the convenience of site visitors and is accepted by the site visitor on the condition that errors or omissions shall not be made the basis for any claim, demand or cause of action. The views reflected herein are subject to change without notice. Hyperlinks to other web sites are not an endorsement, approval or certification of information, projections or opinions located at such web sites. The contents of this web site is strictly for information purposes only and does not constitute an offer or solicitation to purchase or sell any of the securities mentioned in this web site. Past performance is no guarantee of future performance. Investors should note that the value of the securities mentioned herein may fall as well as rise.