Firm Information

PROSPERITY INVESTMENT ADVISORS, INC.

PRIVACY NOTICE REGARDING CLIENT PRIVACY  

Maintaining the trust and confidence of our clients is a high priority. That is why we want you to understand how we protect your privacy when we collect and use information about you, and the steps that we take to safeguard that information. This notice is provided to you on behalf of our firm. 

Information We Collect: In connection with providing investment products, financial advice, or other services, we obtain non-public personal information about you, including: 

· Information we receive from you on account applications, such as your address, date of birth, Social Security Number, occupation, financial goals, assets and income; 

· Information about your transactions with us, our affiliates, or others; and 

Categories of Information We Disclose: We may disclose only certain information that we collect. We do not sell customer lists and will not sell your name to telemarketers. 

Categories of Parties to Whom We Disclose: We will not disclose information regarding you or your account with us, except under the following circumstances: 

· To your authorized Financial Advisor; 

· To our parent companies or their affiliates, to the extent permitted by law; 

· To entities that perform services for us or function on our behalf, including financial service providers, such as a clearing broker-dealer, investment company, or insurance company; 

· To your attorney, trustee or anyone else who represents you in a fiduciary capacity; 

· To your accountant or record keeper at your request;

· To our attorneys, accountants or auditors; and 

· To government entities or other third parties in response to subpoenas or other legal process as required by law or to comply with regulatory inquiries. 

How We Use Information: Information may be used among companies that perform support services for us, such as data processors, technical systems consultants and programmers, or companies that help us perform services to you for a number of purposes, such as: 

· To protect your accounts from unauthorized access or identity theft; 

· To process your requests such as securities purchases and sales; 

· To establish or maintain an account with an unaffiliated third party, such as a clearing broker-dealer providing services to you and/or us; 

· To service your accounts, such as by issuing checks and account statements; 

· To comply with Federal, State, and Self-Regulatory Organization requirements; 

· To keep you informed about financial services of interest to you.

Our Security Policy: We restrict access to nonpublic personal information about you to those individuals who need to know that information to provide products or services to you and perform their respective duties. We maintain physical, electronic, and procedural security measures to safeguard confidential client information. 

Closed or Inactive Accounts: If you decide to close your account(s) or become an inactive customer, our Privacy Policy will continue to apply to you. 

Complaint Notification: Please direct complaints to: Prosperity Investment Advisors, Inc. 8832 Portico Lane. Longmont, CO 80503, Phone (303) 776-4562.

Changes to This Privacy Policy: If we make any substantial changes in the way we use or disseminate confidential information, we will notify you. If you have any questions concerning this Privacy Policy, please write to: Prosperity Investment Advisors, Inc. 8832 Portico Lane. Longmont, CO 80503, Phone (303) 776-4562.