We gather personal information about you from the following sources:
Information we receive from you on the Enrollment Application or other forms, on www.jpmorgan529.com, ny529advisor.com or through other means;
Information we receive from you or your broker-dealer or financial intermediary through transactions, correspondence and other communications with us;
Information we otherwise obtain from you or your broker-dealer or financial intermediary in connection with your Advisor-Guided Plan.
We may disclose information we have about you to companies who help us maintain and service your account. For instance, we will share information with JPMorgan Funds Management, Inc., the Plan Administrator and also with the company providing participant record keeping services, which needs this information to process transactions in your account. In addition, we may share personal information to protect against fraud or to respond to subpoenas. Finally, we may share information with the broker-dealer or financial intermediary through whom you opened your account. Each company with whom we share information is prohibited from disclosing or using the information for any purpose other than the purposes for which it is provided to them.
Under the terms of the Management Agreement and certain related agreements, Ascensus Broker Dealer Services and JPMorgan are required to treat all Account Owner and Beneficiary information confidentially. Ascensus Broker Dealer Services and JPMorgan are prohibited from using or disclosing such information, except as may be necessary to perform their obligations under the terms of the Management Agreement and such related agreements. In addition, the Advisor-Guided Plan is subject to the New York State Personal Privacy Protection Law.