NPB Financial Group, LLC

Privacy Statement

NPB is committed to maintaining and protecting the personal information of our customers.

How and Why We Obtain Your Personal Information

We use your personal information to provide you with our investment products and services. We may use your information to process transactions in your account; develop, offer and deliver investment products and services to you; respond to inquiries from you; or to fulfill certain legal and regulatory requirements of our business. We may collect public and non-public personal information about you from the following sources:

  1. Account information forms and applications, (e.g., name, address and taxpayer ID number)
  2. Transaction activity in your account, (e.g., purchases and sales, cash balances)
  3. Other interactions with NPB, (e.g., discussions with NPB representatives)
  4. Information services and consumer reporting agencies, (e.g., if we do a credit check, or other background check).
  5. Your stated preferences, (e.g., a request to receive information from us electronically, rather than paper-based information).
  6. Other sources with your consent (e.g., from other institutions if you transfer your account to us).

How We Protect Your Information

We restrict access to your personal information to those who require it to provide investment products and services to you. We may share your personal information with the following entities:

  1. Third-party service providers, such as our clearing firm, and various sponsors and vendors of investment products, such as insurance companies and mutual fund companies.
  2. Federal and state government agencies, regulatory agencies and law enforcement officials.
  3. Other organizations with your consent.

We use physical protections to prevent access to your personal information, including locked filing cabinets and secured offices. Old and outdated paper documents are shredded when discarded.

We use technical protections to prevent unauthorized access to your information that is stored electronically, including firewalls, encryption and authentication procedures.

Please note that if your NPB registered representative leaves NPB, we will cooperate with him/her in transferring your account(s) to any new financial institution, including the transfer of your non-public information with your representative to the new firm, in order to maintain continuous servicing of your account(s). If for some reason, you do NOT want NPB to cooperate with your departing registered representative, please contact Shirley Coria, Chief Administrative Officer at NPB, as indicated below.

If you have any questions about our policies, you may contact us at:

Ms. Shirley J. Coria

Chief Administrative Officer

NPB Financial Group, LLC

3500 W. Olive Avenue, Suite #300

Burbank, California91505

Phone: 818-827-7132

Email: .

(11-18-2007)

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