MLP Tax & Financial Services, Inc. requires its sales persons to comply with all federal compliance in regards to telephone communications. Per federal law we check the
“Do Not Call Registry” every 31 days to avoid calling any numbers that are on the Registry.

If an associate from MLP does contact you, you will be promptly told:
- Their name
- Their firm’s name
- Their firm’s address or telephone number
- The purpose of the call — for example, investment-related services

You have the legal right to ask to be added to the “Do Not Call Registry”. To do so, simply ask the caller to put your name and telephone number on the firm’s “do not call” list. If anyone from our firm calls you again, get the caller’s name and telephone number, note the date and time of the call, and complain to the firm’s compliance officer, the SEC, the FINRA, or your state’s securities regulator.

Email Communications:
Email communication and any of its accompanying document(s) are confidential and privileged. They are intended for the sole use of the addressee. If you receive an email transmission in error, you are advised that any disclosure, copying, distribution or the taking of any action in reliance upon the communication is strictly prohibited. If you received an email in error, please contact our office at 888.395.2002.

Email Trading Restrictions:
Trading instructions sent via email will not be honored. If you need to place a trade to buy or sell securities, please contact the main office at 888.395.2002 and ask for an MLP “trading rep”.

Investment Account Communications:
Please be advised that electronic communications regarding trades or account balances are for information purposes only. You should continue to rely on confirmations and statements received from the custodian (NFS/ National Financial Services) of your assets.

Privacy Policy:

MLP Tax & Financial Services, Inc. is committed to safeguarding the confidential information of its clients and future clients. We hold all personal information in the strictest confidence. We have never nor will ever disclose information to non-affiliated third parties (except when required by law) and do not anticipate such a change in firm policy. If a change in policy is made, we would be prohibited under law from doing so without advising you first. We use the financial information that you provide to us to help meet your personal financial goals while guarding against any real or perceived infringements of your rights of privacy. Our policy with respect to personal information about you is listed below.

We limit employee and agent access to information only to those who have a business or professional reason for knowing, and only to nonaffiliated parties as permitted by law. (For example, federal regulations permit us to share a limited amount of information about you with a brokerage firm in order to execute securities transactions on your behalf, or so that our firm can discuss your financial situation with your accountant or lawyer.)

We maintain a secure office and computer environment to ensure that your information is not placed at unreasonable risk.

The categories of nonpublic personal information that we collect from a client depend upon the scope of the client engagement. It will include information about your personal finances, information about your health to the extent that it is needed for the planning process, information about transactions between you and third parties, and information from consumer reporting agencies.

For unaffiliated third parties that require access to your personal information, including financial service companies, consultants, and auditors; we require strict confidentiality in our agreements with them and expect them to keep this information private. Federal and state regulators also may review firm records as permitted under law

We will never provide your personal information to mailing list vendors or solicitors for any purpose.

Personally identifiable information about you will be maintained during the time you are a client, and for the required time thereafter that such records are required to be maintained by federal and state securities laws. After this required period of record retention, all such information will be destroyed.