EFTA01242478.pdf

Rev. WHAT DOES TD AMERITRADE FACTS DO WITH YOUR PERSONAL INFORMATION? Why? Financial companies choose how they 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: ■ Social Security number and financial account numbers I ■ Account balances and transaction information ■ Income and employment information How? All financial companies need to share customers' personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers' personal information; the reasons TD Ameritrade chooses to share; and whether you can limit this sharing. Reasons we can share your personal information Does TD Ameritrade share? Can you limit this sharing? For our everyday business purposes— such as to process your transactions, maintain Yes No your account(s), respond to court orders and legal investigations, or report to credit bureaus For our marketing purposes— Yes No to offer our products and services to you For joint marketing with other financial companies No We do not share For our affiliates' everyday business purposes— Yes No information about your transactions and experiences For our affiliates' everyday business purposes— No We do not share information about your creditworthiness For our affiliates to market to you Yes Yes For nonaffiliates to market to you No We do not share To limit ■ Call 800-326-7141—a client services representative will assist you or 1 our sharing ■ Visit us online: Please note: If your account is managed by an independent investment advisor, your account preferences are already set to limit our sharing. If you are a new customer, we can begin sharing your information 30 days from the date we sent this notice. When you are no longer our customer, we continue to share your information as described in this notice. However, you can contact us at any time to limit our sharing. Questions? Call 800-326-7141 or email Page 1 of 2 AMID 800 F 05/12 EFTA01242478  Page 2 Who we are Who is providing this notice? TD Ameritrade, Inc. and the TD Ameritrade family of divisions and companies, including TD Ameritrade Institutional, thinkorswirn, and Amerivest Management, LLC. What we do How does To Ameritrade To protect your personal information from unauthorized access and use, we protect my personal information? use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. For more information, please visit How does 'ID Ameritrade We collect your personal information, for example, when you collect my personal information? • Open an account or make deposits or withdrawals from your account • Direct us to buy securities or direct us to sell your securities • Tell us about your investment or retirement portfolio We also collect your personal information from others, such as credit bureaus, affiliates, or other companies. Why can't I limit all sharing? Federal law gives you the right to limit only • Sharing for affiliates' everyday business purposes—information about your creditworthiness • Affiliates from using your information to market to you • Sharing for nonaffiliates to market to you State laws and individual companies may give you additional rights to limit sharing. See below for more on your rights under state law. What happens when I limit sharing for an account I hold jointly with Your choices will apply to everyone on your account. someone else? Definitions Affiliates Companies related by common ownership or control. They can be financial and nonfinancial companies. • Ow affiliates include companies with a TD Ameritrade name, financial companies such as RED Option Advisors, Inc. and the TD Bank Financial Group family. including TD Bank and The Toronto-Dominion Bank, as well as non-financial companies such as Investools, Inc. Nonaffiliates Companies not related by common ownership or control. They can be financial and nonfinancial companies. • TD Ameritrade does not share with nonaffiliates so they can market to you. Joint marketing A formal agreement between nonaffiliated financial companies that together market financial products or services to you. • TD Ameritrade doesn't jointly market. Other important information I For Nevada Residents. Weave pnviing you this notice pursuant to state law. You may be placed on our internal Do Not cal List by calling 800326-7141. Nevada law requires that we aso prewide you with the fdlowirg contact infatuation: Bureau of Consumer Protection. Office of the Nevada Attorney General 555 E. Washington St.. Suite 3900. Las VATC. W80101: Phone minter. 7C4-486-313t email: BCPINFOiteag.state.nv.us. For Vermont Residents. In accordance with Vermont law. we will not share information we collect about Vermont residents with companies who are not affiliates. except as pematted by law. such as with your consent or to service you. accounts. We will not share infamaton about your erect:worthiness with as affiliates without you. aulhorizatcn or consent. but we may share ...formation about our transactions a experiences with you with ar athletes without your consent For California Residents. In accordance with California law. we will not share infamation we collect about you with noneffiliates. except as Sowed by law. For example. we may share information with your consent a to service yar accounts. Among asaffiliates. we wil lrnit infamation sharing tote extent requned byCalifornia law. Page 2 of 2 AMTD BOO F 05/12 EFTA01242479