Richfield Orion International, Incorporated Privacy Statement

Richfield Orion International Incorporated. (Hereinafter referred to as ROI), is required to communicate its policies related to the privacy of customer information. We are proud of our privacy practices and procedures and we want you to know how we work with your representative to protect your information and use your information to service your account.

Please take a moment to review our privacy policy as described below:

In order to facilitate the servicing of your account, ROI may receive nonpublic personal information about you from the following sources:

•Information we receive from you on applications, account opening documents or other forms;

•Information about your transactions with others, or us;

•Information we receive from a consumer reporting agency; and

•From other sources with your consent or with the consent of your registered representative; We do not disclose any nonpublic personal information about you or anyone, except as permitted by law. Such disclosure may include the following:

•Affiliates, including affiliated service providers (for example, insurance agencies for processing of insurance
applications on your behalf;

•Government agencies and law enforcement officials (for example, for tax reporting or under a court order); and

•Other organizations, with your consent or as directed by your registered representative (for example, your accountant or attorney’s firm for tax preparation or estate planning).

Other Disclosures

•If the representative servicing your account leaves us to join another broker-dealer, the representative is permitted to retain copies of your information so that they may continue to service your account. The representative is still required to keep your information confidential and may only share such information with his new firm to utilize in the service of your account.

You may opt-out of this disclosure by contacting our firm in writing at:
5353 N. Union Blvd. Ste. G-1
Colorado Springs, CO 80918

ROI also considers privacy, security and service to be just as critical in the online environment as in the rest of our operation. As a result, we have encryption, firewall and password protections in place.

ROI restricts access to your personal and account information to those of its employees who need to know that information to provide products or services to you. ROI maintains physical, electronic, and procedural safeguards to guard your nonpublic
personal information.

We will continue to adhere to the privacy policies and practices as described in this notice if you decide to close your account(s), or become an inactive customer. If you have any questions concerning ROI’s privacy policy and procedures, or would like to please feel free to contact us at 720-231-4103

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