DISCLOSURES

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

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 maintains a business continuity plan, including the business continuity plan of our clearing corporation, Pershing LLC. Pershing’s business continuity plan is available online at www.pershing.com under the heading of About Pershing. Lawson Financial Corporation’s plan is available right here. Both Lawson Financial Corporation and Pershing will review these plans annually and update as necessary.

Our plans outline the actions Lawson Financial Corporation will take in the event of a building, city-wide, or regional incident, including relocating technological and/or operational personnel to different addresses to resume business. Our data processing that has to do with your account is all done through Pershing who has the ability to switch their data to alternate regional data centers.

All Pershing operational facilities are equipped for resumption of business and are tested several times a year. Their recovery time objective for business resumption, including those involving relocation of personnel or technology, is four hours. This recovery objective may be negatively affected by the unavailability of external resources and circumstances beyond our control.

Lawson Financial Corporation has four branches and has the ability to recover phone calls from each office. In the event of an interruption of business you may call any of the various numbers listed on our web site, under Affiliated Offices. If you are unable to reach someone at these offices, you are requested to visit the Customer Support page of www.pershing.com.