The privacy and security of your personal and account information are important to TradeKing. Our privacy and security standards are intended to protect your personal information. This Statement illustrates how we use and protect your personal information.

Collection of Information

"Nonpublic personal information" is information about you that we obtain in connection with providing a product or service. This includes such information as your name, address and Social Security number.

We may collect nonpublic personal information about you from the following sources:
• Information that you provide to us, such as on applications or other forms
• Information about your transactions with us, our affiliates or others, or
• Information from others, such as credit bureaus, consumer-reporting agency, and employers

Our site's registration form requires users to give us contact information (like their name and e-mail address). We use customer contact information from the registration form to send the user information about our company. The customer's contact information is also used to contact the customer when necessary. Users may opt-out of receiving future non-essential mailings. We use your IP address to help diagnose problems with our server, and to administer our Web site.

TradeKing provides investment brokerage services by means of its own internal operation and those of its clearing firm and other unaffiliated third party providers such as mutual funds and variable product sponsors. TradeKing acts as an introducing broker to its clearing firm, which in turn processes the transactions and acts as the account custodian. All of the above parties receive and maintain information about you that is related to and necessary for processing investments in your account.

The confidentiality of your nonpublic personal information will continue to be maintained consistent with this privacy notice even if you decide to close your account(s), your account becomes inactive, or when you otherwise cease to do business with us.

Additional Information

To better serve you, we sometimes collect additional information from third party sources. For example, to verify a customer's identity, we may use their name and Social Security number to request a screening report.

Personal Information Changes

Personal information changes, such as changes of address, email or telephone #, may be made at anytime by logging into your account. You may also change your personal information by contacting customer service at or by submitting the request in writing to:

TradeKing
5455 N. Federal Highway
Suite E
Boca Raton, FL 33487

Sharing of Information

We believe that your privacy should never be compromised. At the same time, we want to offer you the array of products and services you need to accomplish your goals. We believe we can do both by adhering to the provisions of this policy. We do not sell customer (current or former) information to third parties. Any information shared by us is done so to fulfill our legal and regulatory requirements and to provide you with the products and services you have requested. We require that all third parties with whom we share your information agree to keep it confidential.

We share selected information under certain conditions: (1) we disclose information about you to a variety of third parties to bring you financial services as necessary to fulfill these third party service agreements. We share information as part of normal business operations and as part of normal legal and or regulatory purposes required by our service partners, the Internal Revenue Service, the Securities and Exchange Commission, and other regulatory and government entities; (2) we may share limited information with third parties to assist in the analysis of customer demographics, business analysis and marketing strategies. These third parties must agree to strict confidentiality provisions to assure the protection of your information. (3) we may share opt-out e-mail addresses with third-parties who send communications on our behalf in order that they may eliminate their receipt; (4) we may retain a service to contact opt-in customers on our behalf to perform account closure analysis.

Additionally, we may invite you to share your contact information from time-to-time with third party research organizations. Although we don't share information with other third party offer providers, we occasionally send select third party offers we feel would be beneficial to our customers. We may also purchase or receive lists of non-customers but we will not redistribute such lists.

Information Security

TradeKing has security measures in place to protect the loss, misuse and alteration of the information under our control. The secure site area uses SSL (Secure Socket Layer) technology to provide a secure environment for all transactions. We restrict access to information about you to those employees and authorized agents who need to know that information in order to provide products or services to you. We maintain physical, electronic and procedural safeguards to maintain the confidentiality of your information.

When you access our account holder areas, you are required to provide your login and your password. To preserve privacy and confidentiality, login information is transmitted in an encrypted format. Do not share your with anyone and change it frequently. Password changes can be made at anytime by logging into your account.

Access to your information is granted only to employees and third-party service providers who need it to perform a specific service. Our service providers are contractually obligated to keep information confidential. You are encouraged to read the privacy statements of our service providers.

Choice/Opt-out

Users who no longer wish to receive marketing offers and promotions from TradeKing may opt-out of receiving these communications by logging into your account or by sending an e-mail.

Even if you decide to opt out from receiving offers and promotions from us, you must maintain an e-mail address for us to be able to continue to e-mail you trade and account information and follow US regulations.

Links

The TradeKing website contains links to other websites. We are not responsible for the privacy practices of other websites. Please read the privacy statements of every website that collects personal information.

Cookies

We may use cookies or other technology to gather information about Site usage to help us improve the content, usability and functionality of TradeKing's site, and to remember certain user attributes. This helps us better tailor TradeKing for users and better understand how many new and repeat users visit TradeKing, which features or pages are most popular, and user browsing and usage patterns.

Additionally, TradeKing uses cookies or other technology to help us authenticate you, store and recognize your configuration and user attributes, facilitate your navigation and entitlements throughout TradeKing and customize its content so that the information made available is more likely to be of interest to you.

You can set your Web browser to prompt you before you accept a cookie, to accept cookies automatically, or to reject all cookies. However, if you choose not to accept cookies from TradeKing, then you may not be able to access and use all or part of this Site or benefit from the information and services which it offers.

We also use cookies, and we may employ additional software, to help us track a visitor's progress in order that we can improve our website and your experience.

Notification of Changes

The effective date of this Privacy Policy is provided below. Any updates or changes to the policy will be posted on this web site. Consumers who are TradeKing customers will be notified of updates and changes in accordance with federal law.

For more information or other questions regarding our Privacy Policy, please e-mail service@tradeking.com.

12/08/2005 Version 002