Information Privacy Policy

Effective on January 28, 2011

This privacy statement describes how Stock USA Execution Services, Inc. collects and uses the personal information you provide on our Web site: www.stockusainvest.com. It also describes the choices available to you regarding our use of your personal information and how you can access and update this information.

Collection and Use of Personal Information

We collect the following personal information from you

• Contact Information such as name, email address, mailing address, phone number
• Financial Information such as bank or brokerage account numbers, types of investments
• Social Security Number
• Driver's License Number
• Unique Identifiers such as user name, account number, password

We also collect the following information from you

• Demographic information such as age, education, gender, interests and zip code

As is true of most Web sites, we automatically gather information about your computer such as your IP address, browser type, referring/exit pages, and operating system.

We use this information to

• Respond to customer service requests
• Administer your account
• Respond to your questions and concerns

Information Sharing

We will share your personal information with third parties only in the ways that are described in this privacy statement. We do not sell your personal information to third parties.

We may provide your personal information to companies that provide services to help us with our business activities such as shipping your order or offering customer service. These companies are authorized to use your personal information only as necessary to provide these services to us.

We may also disclose your personal information

• as required by law such as to comply with a subpoena, or similar legal process
• when we believe in good faith that disclosure is necessary to protect our rights, protect your safety or the safety of others, investigate fraud, or respond to a government request,
• if Stock USA Execution Services, Inc. is involved in a merger, acquisition, or sale of all or a portion of its assets, you will be notified via email and/or a prominent notice on our Web site of any change in ownership or uses of your personal information, as well as any choices you may have regarding your personal information,
• to any other third party with your prior consent to do so.

Cookies and Other Tracking Technologies

We do not use cookies on this site.

Security

The security of your personal information is important to us. When you enter sensitive information (such as credit card number) on our order forms, we encrypt the transmission of that information using secure socket layer technology (SSL).

We follow generally accepted industry standards to protect the personal information submitted to us, both during transmission and once we receive it. No method of transmission over the Internet, or method of electronic storage, is 100% secure, however. Therefore, we cannot guarantee its absolute security.

If you have any questions about security on our Web site, you can contact us at info@stockusa.com

Additional Policy Information

Our Web site offers publicly accessible blogs or community forums. You should be aware that any information you provide in these areas may be read, collected, and used by others who access them.

Correcting and Updating Your Personal Information

To review and update your personal information to ensure it is accurate, contact us at info@stockusa.com

Notification of Privacy Statement Changes

We may update this privacy statement to reflect changes to our information practices. If we make any material changes we will notify you by email (sent to the e-mail address specified in your account) or by means of a notice on this Site prior to the change becoming effective. We encourage you to periodically review this page for the latest information on our privacy practices.

Contact Information

You can contact us about this privacy statement by writing or email us at the address below:

Stock USA Execution Services, Inc.

1717 Route 6 Suite 102

Carmel, NY, United States 10512

Email: info@stockusa.com

Phone: 1-800-874-3039

Resources

Our employees or representatives may collect nonpublic personal information about you from various sources including:

 Your account application or other supplemental account forms.
Your transactional history with Stock USA Execution Services.
Your account records including transactional history with nonaffiliates Penson Financial Services, Inc. and Penson GHCO., where it is appropriate
Information from credit reporting agencies (e.g. Experian, Equifax, and Trans Union).
Current and prior employers, federal and state agencies.
Consumer reporting agencies such as McDonald Information Service, Inc.

Your Nonpublic Personal Information

The type of nonpublic personal information collected varies according to the products or services provided and may include, the following categories: (1) name, (2) current and prior resident addresses, (3) phone number, (4) e-mail address, (5) social security number, (6) securities or futures trading history, (7) date of birth, (8) banking relationships, (9) interest in opening an account, (10) investment experience, (11) total assets, (12) cash balances, (13) margin information, (14) trading positions, (15) account balances, (16) income, (17) excess margin, (18) margin loan records, and (19) deposit and withdrawal history.

 Information collected is used to process your transactions, update your account records, to inform you of other services that may be of interest, and to ensure compliance with appropriate regulations.

Opt Out Disclosure

The law allows you to "opt out" of our sharing nonpublic personal information about you in certain circumstances with affiliated and nonaffiliated companies; that is, you may direct us to not make such disclosures. We do not currently share information about you with any affiliate or third party that triggers this opt-out right. Therefore, there is no need for you to opt out. If in the future we desire to disclose your information in a way that is inconsistent with this policy, we will notify you in advance and provide you with the opportunity to opt out of such disclosure.

THIS PRIVACY NOTICE IS PROVIDED TO YOU FOR INFORMATIONAL PURPOSES ONLY. YOU DO NOT NEED TO CALL OR TAKE ANY ACTION IN RESPONSE TO THIS NOTICE. WE RECOMMEND THAT YOU READ AND RETAIN THIS NOTICE FOR YOUR PERSONAL RECORDS.