Krell Financial-Privacy Policy

Client Policy – Website Usage

June 24, 2004

SII Investments, Inc. Compliance Updates represent a modification or clarification of the Firm’s written policies and procedures. The information contained herein supersedes any and all information related to the above-entitled issue that had previously been distributed by SII. The Update is considered to be a formal amendment to the Firm’s supervisory procedures as of the above date. All Registered and Associated persons are responsible to read and understand this Compliance Update which is incorporated into SII’s WRITTEN SUPERVISORY PROCEDURES available at www.siionline.com.

We have seen an increase in state level regulations regarding business websites having the ability to collect client data (i.e. client name, email address, mailing address, etc.). To comply with these regulations, all Representatives who host or facilitate a securities-related website/webpages must post the appropriate privacy policy link(s) on their sites. This also includes Representatives who use a third party website to market their services (i.e. Representatives who have partnered with a Financial Institution, where the primary website is hosted by the Financial Institution but the Representative’s services are listed therein).

Effective July 1, 2004, the following requirements must be in place for Representatives who host/facilitate a securities related website/webpages.

Post a text or icon hyperlink from the Home Page of their securities-related website entitled “SII Privacy Policy”. This link must route to https://www.siionline.com/public/forms/sii_madv6130a.pdf
If the website discusses products and/or services not provided through SII, a separate Privacy Policy related to these issues must be posted. SII cannot provide Legal advice related to the creation or posting of this Privacy Policy, nor should SII be listed by name in this policy.

Text Link Requirements

Must be written in capital letters equal to or greater in size than the surrounding text; or
Must appear in contrasting type, font, or color to the surrounding text of the same size, or offset from the surrounding text of the same size by symbols or other marks that call attention to the language.

Icon Link Requirements

Must be titled “SII Privacy Policy” and appear in a color contrasting the background color of the webpage or must be otherwise distinguishable.

Note: Although SII is solely concerned with securities-related websites, Representatives who currently host a non-securities related site should also comply with this requirement. Many states now require such information to be posted to business-oriented websites.

As part of our surveillance process, we will be conducting random reviews of websites to ensure Representatives are in Compliance with this requirement.

Attention Representatives who utilize Emerald or Advisorsquare: SII now requires these providers to post a link to the SII Privacy Policy on all securities related websites. Responsibility for posting privacy policy information regarding non-securities related products and/or services remains with the Representative.

If you have questions regarding these new policies, which take effect July 1, 2004, please contact the SII Compliance Department at 800-426-5975, option 3.

Krell Financial Group // 123 E Baseline Rd, Ste D-106, Tempe AZ 85283 // office: 480-345-9737 // fax: 480-345-9736 Privacy Policy

IMPORTANT CONSUMER INFORMATION

This site is for informational purposes only and is not intended to be a solicitation or offering of any security and: Representatives of a Registered Broker-Dealer ("BD") or Registered Investment Advisor ("IA") may only conduct business in a state if the representatives and the BD or IA they represent (a) satisfy the qualification requirements of, and are approved to do business by, that state; or (b) are excluded or exempted from that state's registration requirements.
Representatives of a BD or IA are deemed to conduct business in a state to the extent that they would provide individualized responses to investor inquiries that involve (a) effecting, or attempting to effect, transactions in securities; or (b) rendering personalized investment advice for compensation.

We are registered to offer securities in the following states: AZ

Leaving the website disclosure: PLEASE NOTE: The links being provided are strictly as a courtesy to our clients. When you link to any of the sites provided here, you are leaving our site. Our company makes no representation as to the completeness or accuracy of information provided at these sites. Nor is the company liable for any direct or indirect technical or system issues or any consequences arising out of your access to or your use of third-party technologies, sites, information and programs made available through this site. When you access one of these sites, you are leaving (your website's name) and assume total responsibility and risk for your use of the sites to which you are linking.

Securities and Advisory Service Offered through SII Investments, Inc. Member FINRA/SIPC
and a Registered Investment Advisor SII Investments, Inc. SII Investments, Inc is not affiliated with Krell Financial Group

Preserving trust is a core value at SII Investments, Inc. We recognize that you expect us to protect the information you provide us and to use it responsibly. We are strongly committed to fulfilling the trust that is the foundation of your expectations. Our computer systems utilize password protection to prevent access by unauthorized personnel, and we employ other physical, electronic and procedural safeguards in accordance with state and federal privacy regulations. In accordance with our values, we have adopted and adhere to the following policy regarding the privacy of your nonpublic personal information.