INTRODUCTION

MFG complies with SEC S-P Privacy Regulation. Information received from our clients will not be
shared with non-affiliated companies or individuals except as permitted by law. This applies to both
current and former clients. Information may be shared with our clearing agent for preparation of client
statements and/or to comply with legal or regulatory requirements.
How We Collect Information
This Privacy Policy does not apply to personal information or information we may collect about our
clients from a variety of other sources and in connection with:
o Mischler Financial’s website and social media: Your visits to our website and our pages on
various social media platforms.
o Events: Your registration, attendance or participation in conference, meeting or other event
(virtual or in-person).
o General communications: Your communications with our employees through their email
addresses, phones, and applications, or more generally in their professional capacity via phone,
email, chat, in-person or otherwise. This applies to a wide variety of situations in which you
communicate with our employees – for example, if you are calling to inquire about our services.
o Publicly available databases: We may collect information about you that is publicly available,
such as websites.
o Third Parties: Vendors, partners, or other third parties may send us your information.
o Information we receive from you on your new account form or other forms (such as name,
address, social security number and financial information)
o Information the law says we must have (such as your taxpayer ID number)
o Information about your business with us, or others (such as your transaction history or account
balances).
Mischler Financial as Controller: In the above situations, Mischler Financial is considered a “controller”
(or its equivalent) under applicable data protection laws.
A Third Party as a Controller: In certain limited circumstances, we may engage service providers who
process certain categories of personal information on our behalf that also process the information on their
behalf, making them a “controller” of your personal information, as well.

Information We Share
Privacy laws also allow us to share information with third parties in other ways. For example, we may
share information if we get a subpoena, to prevent fraud, or to provide the service you asked for. We do
not share information about former customers except as stated in this Privacy Notice.
Further, mobile information will not be shared with third parties/affiliates for
marketing/promotional purposes. All the categories exclude text messaging originator opt-in
data and consent. This information will not be shared with any third parties.

Employee Access To Information
Employees who have access to your personal information are educated on the importance of accessing
that information only for legitimate business purposes, and maintaining the confidentiality and security of
the information. They are required to abide by our information handling practices.
Protection of Information
We have information protection procedures. They include physical, electronic and process safeguards.
These help insure only people who need to see your information do so. We do not allow people to see
information about you if they do not need if for their job. If someone sees information about you they
promise to protect it.
Maintaining Accurate Information
We strive to maintain accurate, up-to-date customer records in accordance with industry standards. We
have procedures in place to keep information current and complete. These procedures include responding
to requests to correct inaccurate information in a timely manner.
Disclosure of our Privacy Notice
We recognize and respect the privacy concerns of our potential, current and former customers. We are
committed to safeguard this information. This Privacy Policy will be provided in written form annually
to our customers, continually via our web site www.mischlerfinancial.com, and in written form upon
request