Privacy Policy Notice

This notice is being provided to you on behalf of Centennial Securities Company Inc. and describes our policies regarding information that we may collect about you and third parties to whom we may disclose that information.  We collect nonpublic personal information about you from the following sources:  information we receive from you on application or other forms, information about your transactions with our affiliates and information we receive from a consumer reporting agency.  “Nonpublic personal information” is information about you that we obtain in connection with providing a financial product or service to you for personal, family or household purposes.  It does not include information available from government records, widely distributed media (such as phone books), or government mandated disclosures.  We may disclose all of the nonpublic personal information that we collect about you, as described above, to the following companies:  companies that perform marketing services for us or financial service providers with whom we have a joint marketing agreement to offer financial products and companies that assist us in processing your transactions and servicing your account.  We may also disclose nonpublic personal information about you to third parties as otherwise permitted by law.  If you decide to close your accounts, we will continue to adhere to the privacy practices described in this notice when you become a former customer.  You become a former customer when you close your accounts with us or your investment advisory contract is terminated.  We take all reasonable steps to assure the privacy of client information.  We restrict access to nonpublic personal information about you to those employees who need to know that information to provide products and services to you.  We maintain physical, electronic and procedural safeguards that comply with federal regulations to guard your nonpublic personal information.

 

Centennial Securities Company’s Business Continuity Planning

Centennial Securities Company has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business.  Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur.  With that in mind, we are providing you with this information on our business continuity plan.

 

Contacting Us – If after a significant business disruption you cannot contact us as you usually do at (800) 253-4131 / info@centennialsec.com, you should call our alternative number (800) 861-1338 or go to our web site at www.centennialsec.com.  If you cannot access us through either of those means, you should contact our clearing firm, Wells Fargo Clearing Serivces, LLC at 877-496-3223 for instructions on how it may provide prompt access to funds and securities, enter orders and process other trade-related, cash, and security transfer transactions.

 

Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

 

Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

 

Our clearing firm, Wells Fargo Clearing Serivces, LLC, regularly backs up its important information in a geographically separate area.  While every emergency situation poses unique problems based on external factors such as a time of day and the severity of the disruption, Wells Fargo Clearing Services, LLC has a thorough Business Continuation Plan in place.  Wells Fargo Clearing Services, LLC has advised us that its objective is to restore its own operations in order to complete existing transactions and accept new transactions and payments in a timely manner.  Please visit this website to learn more about Wells Fargo Clearing Services, LLC as well as order routing information.

 

For more information – If you have questions about our business continuity planning, you can contact us at (800) 253-4131. Or visit our website at www.centennialsec.com for our complete business continuity plan.

 

Financial Industry Regulatory Authority (FINRA)

Under rules adopted by FINRA, we are required to provide you with the following information:

1)FINRA regulation Hotline number 1-301-590-6500

2)FINRA Regulation web site address www.finra.com

3)A FINRA investor brochure that includes information describing The public disclosure program is available upon your request.