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GW & Wade Privacy Policy

Your Privacy is Important to Us
GW & Wade takes our relationship with you and the safeguarding of your information very seriously. This statement reflects our firm’s policy on how we protect the personal information you provide to us in the course of offering you our services.

The Information We Collect About You
You typically provide personal information when you complete a GW & Wade, LLC account application or when you request a transaction that involves GW & Wade LLC or one of our affiliated companies. This information may include your name, address, social security (or tax identification) number, assets, liabilities, income, account balances, investment activity and other personal holdings.

How We Handle Your Personal Information
We do not sell information about current or former clients or their accounts to third parties. We also will not share your information with affiliated or non-affiliated companies, except when necessary to effect, administer or enforce a transaction that you request or authorize. In order to complete certain transactions or account changes that you direct or authorize, it may be necessary to provide certain information collected by our firm, to companies, individuals, or groups that are not affiliated with GW & Wade LLC.

In addition, we will release information about you if you direct us to do so, or if we are permitted or required by law, to government and regulatory agencies. We may also release information in order to comply with a legal summons, court order, subpoena or similar legal process, if required to do so.

At any time during your relationship with our firm, you may instruct us not to share any of your non-public, personal information. In the event you wish us to not share your information, you must provide notice either in writing to GW & Wade 93 Worcester Street, Wellesley, MA 02481 or by contacting your Counselor directly.

How We Safeguard Your Personal Information
We restrict access to information about you to those GW & Wade, LLC employees who need to know the information to provide products or services to you. We maintain strict physical, electronic, and procedural safeguards to protect your personal information.

What You Can Do
We recommend that you do not provide your account information to anyone. If you become aware of any suspicious activity related to your account, please contact us immediately

We’ll Keep You Informed
As required by federal law, we will notify you of our privacy policy annually, as long as you maintain an account with us. We reserve the right to modify this policy at any time, but rest assured that if we do change it, we will tell you promptly. You may also view our privacy policy at any time online at www.gwwade.com.

GW & Wade, LLC ’s Business Continuity Planning

GW & Wade, LLC 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 (781) 239-1188, or via email, you should go to our web site at www.gwwade.com, for instructions on how to reach us. If you cannot access us through either of those means, you should contact our clearing firm, National Financial Services, LLC at (617) 563-5977 for instructions on how it may assist you in gaining access to your funds.

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, National Financial Services, 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 it has developed plans designed to account for business interruptions of various lengths and scope. These plans include the ability to recover critical functions according to their time criticality.

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 when needed and expect to recover and resume business within the same business day. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area and expect to recover and resume business within the same business day. In this situation, GW & Wade, LLC may depend heavily on our clearing firm, National Financial Services, LLC and its business continuity planning. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site, www.gwwade.com or though a voicemail message on our company phone line at (781) 239-1188, with instructions on 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 (781) 239-1188. Please note that GW & Wade, LLC’s Business Continuity Plan is subject to modification and is updated at least annually. Updated plans can be obtained by requesting a written copy of the plan by mail or by going to www.gwwade.com.

Wellesley, MA	Palo Alto, CA
©2012 GW & Wade