WEALTHTRUST - ARIZONA PRIVACY PLEDGE

The protection of your privacy is extremely important to WealthTrust Advisors LLC. We respect your privacy and are committed to managing your information safely and responsibly.

We carefully manage this information to give you better service and more convenience, and to offer benefits based on your overall relationship with us.

This pledge describes how we protect the confidentiality of the personal information you share with us, the types of information we collect and how we use it.

Information We Collect

The information we collect is limited to what we believe is necessary or useful to conduct our business; to protect and administer your records, accounts and funds; to comply with certain laws and regulations; to help us design or improve our products and services; and to understand your financial needs so that we can provide you with quality financial products and opportunities, and with the service you deserve. We may collect this information from the following sources:

• Information, such as your assets and other financial information, we receive from you on client agreements, questionnaires or other forms;
• Information about your transactions and experiences with us such as your account activity and the parties to transactions on your behalf;
• Information we may receive from public records and market research; and
• Information we have obtained at your request.

Information We Share

WealthTrust - Arizona wants you to rest assured that we do not sell customer information or customer lists to third parties.

We do not share information about our customers or former customers, except as described herein.

Sharing Information With Our Parent Company and Affiliates

We may share information with our parent company, WealthTrust LLC, and its board. Included in this information is summary data about clients: specifically account balances and advisory fees paid.

We may also share information with our affiliated investment advisory firms which may provide services to you or to us on your behalf pursuant to written agreement. The written agreement will contractually obligate the firm to protect the confidentiality of the information provided to them. A list of these affiliated investment advisory firms is provided in this Privacy Pledge.

The law allows us to share this information and information about our transactions and experiences with you with our parent company and with our affiliated companies.

Sharing Information With Companies That Work With Us

In order to conduct our business, and to offer products or services that may complement your relationship with us, we may share some or all of the information we collect, as described above, with third parties that perform services for us or on our behalf, such as vendors we hire to prepare account statements or to provide support for one or more of our products and services, or our professional advisors (accountants and attorneys).

These companies act on our behalf, and are obligated to keep the information we provide them confidential and to use the information only for the purposes authorized.

Sharing Information in Other Situations

We may share some or all of the information we collect, as described above, as otherwise authorized or required under applicable law. This includes, for example, disclosures to process and service your requested or authorized transactions; disclosures in connection with subpoenas or other legal processes; disclosures as part of regulatory or governmental investigations; disclosures in connection with audits and examinations; and disclosures pursuant to your authorization or consent.

Protecting Information About You

We otherwise restrict access to information about you to those employees who need to know that information as part of their job responsibilities. We also educate our employees about the importance of confidentiality and customer privacy.

Protecting Information About Former Customers

Our Privacy Pledge regarding the collection, use and disclosure of information about former customers is the same as our pledge to existing customers.

We Want To Maintain Accurate Information

We recognize that we must maintain accurate customer records and we strive to maintain the accuracy of your information and to keep such information current and complete. We seek to respond to requests to correct inaccurate information in a timely manner. If you believe our customer records contain incorrect information about you, call or write to us immediately.

Contact Us If You Have Questions About Our Privacy Pledge

If you have any questions about this Privacy Pledge or have a question about the privacy of your information, please call us at (480) 483-7300 from 8 A.M. to 5 P.M. Monday through Friday or you may write us directly at 8434 East Shea Boulevard, Scottsdale Arizona 85260-6630.

Keeping Up to Date With Our Privacy Pledge

This Privacy Pledge is subject to change from time to time. You can always request a copy of our current Privacy Pledge by contacting us at our office. We will notify you each year about our privacy pledge as long as you maintain an ongoing relationship with us.

Miscellaneous Information

This Privacy Pledge applies to individuals who obtain or have obtained from us a financial product or service that is used primarily for personal, family or household purposes. The laws of some states may impose separate requirements before particular types of information about customers in those states can be disclosed. This Privacy Pledge is intended to comply with applicable law and replaces all other notices, statement or agreements with respect to the same subject matter.

Affiliated Investment Advisory Firms

Delta Asset Management, LLC
Duncker Streett & Co., LLC
Greenwood Capital Associates, LLC
Harvey Investment Company, LLC
Kanawha Capital Management, LLC
Wilbanks, Smith & Thomas Asset Management, LLC
Optimum Investment Advisors, LLC
WealthTrust Arizona LLC
Axiom Asset Management, LLC
Fairport Asset Management, LLC