DISCLOSURES

Routing Practices / Privacy Policy / USA Patriot Act
Business Continuity / Account Protection

Routing Practices (SEC Rule 11Ac1-6)

Our clearing firm, Pershing LLC ("Pershing") has provided the data concerning the routing of order flow ("Data") on the web site linked below. Although Pershing has used commercially reasonable efforts to provide accurate Data, Data is provided to you on an "as is" basis.

If you would like to read this information, you will be required to enter our Broker-Dealer name when you access the website: Lawson Financial Corporation.  You may copy it from the preceding sentence and paste it into the Pershing form.

Privacy Policy
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Lawson Financial Corporation takes very seriously the responsibility to protect your personal information. We understand your information is personal and confidential and we have established policies and procedures to protect the confidential nature of your information.

This notice describes the policies Lawson Financial Corporation uses to protect your privacy. We explain the types of information we collect and disclose, with whom that information is shared and how we protect the confidentiality of your information. As long as our policies and procedures meet your expectations, there is nothing you need to do. If you do not want information about you shared as outlined, please review the section Options Available To You and
inform us in writing of any option you may choose.

The Security of Information

Lawson Financial Corporation has strict standards of security to safeguard the confidentiality of your information. We have physical, electronic, and procedural safeguards in place to protect your information. These policies and procedures used to protect your information are reviewed frequently and updated as needed.

Information about you is available to authorized employees in each branch as well as the operations departments. Their access to your information is limited to only the information they need to provide products, services and information to you. Those who are granted access to your information are held accountable to follow established policies and procedures as well as the law.

The Information We Collect

We collect information from you to create and promote relationships. Having accurate information about you helps us to provide better customer service, comply with legal and regulatory requirements as well as increase the effectiveness and efficiency of our operations department. The information we collect about you varies according to the products and services you request. This may include the following information:

  • Information we receive from you upon opening a new account, applications or other forms, such as a name, address, Social Security number, birth date, net worth and income.
  • Information we receive from consumer reporting agencies such as credit history.
  • Information about your transactions and experience with us, such as products  purchased, certificate values, account balances and payment history.

Sharing Your Information

We may make disclosures to other entities as permitted or required by law. We are permitted to share information about you to help us process transactions and administer customer service that you request or authorize. We are also permitted to share your information with organizations that perform services for us on our behalf such as clearing corporations and printing or mailing services. In addition, we are required to disclose information to you in certain instances, such as to detect fraud or to comply with an inquiry by a government agency or regulator.

Accuracy of Your Information

To insure better customer service, our goal is to keep your information accurate and up-to-date. You may request access to and correction of your information by writing us at our address at the end of this notice.

Information Regarding Former Clients

If you no longer have the products or services with us, we will not disclose your information other than as permitted or required by law.

Options Available To You

As discussed in this notice, we disclose information about you with our clearing corporation, Pershing LLC Clearing, as well as printing and mailing companies. Certain disclosures are permitted by law and are necessary for us to conduct our business to the benefit of our customers.

You may inform us not to share information about you by writing us and selecting one or more of the options below:

  1. You may direct us not to share information about you with other organizations, other than as permitted or required by law, and with other financial institutions to inform you of products, services or benefits.
  2. You may request that we remove your name from some or all of our internal marketing lists. You should know that our regular service mailings might still contain marketing materials.

ONCE YOU HAVE WRITTEN TO US REQUESTING THESE CHANGES, IT MAY TAKE UP TO EIGHT WEEKS TO MAKE YOUR OPTIONS FULLY EFFECTIVE. ANY ACCOUNT HOLDER MAY CONTACT US TO PREVENT THE SHARING OF THIS INFORMATION. HOWEVER, YOU NEED TO LET US KNOW IF YOUR DECISION APPLIES TO ALL ACCOUNT HOLDERS.

USA Patriot Act
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To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.

What this means for you: When we open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver’s license of other identifying documents.

Business Continuity Plan
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Lawson Financial Corporation has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and the 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 our various numbers or email addresses, you should call our alternative number, 602-381-8588 or go to our website at www.lawsonfinancial.com. If you cannot access us through either of those means, you should contact our clearing firm, Pershing LLC at 201-413-3635 or 213-624-6100 Ext. 500 for instructions on how to process limited trade-related transactions, cash disbursements, and security transfers. Instructions to Pershing must be in writing and transmitted via facsimile at 201-413-5368 or by postal service as follows:

Pershing LLC
PO Box 2065
Jersey City, New Jersey 07303-2065

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 our 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 backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees and regulators; alternative 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, Pershing LLC, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within four hours. Your orders and requests for funds and securities could be delayed during this period.

Varying Disruptions- Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site or a branch office when needed and expect to recover and resume business within a four hour time period. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within a four hour time period. In either situation, we plan to continue in business and notify you through our website www.lawsonfinancial.com or our customer emergency number, 602-381-8588 how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.

For more information- If you have questions about our business continuity planning, you can contact us at www.lawsonfinancial.com or by inquiring via postal service as follows:

Lawson Financial Corporation
Business Continuity Plan
3352 E. Camelback Rd.
Phoenix, Az. 85018