Privacy Policy

At Heartland Advisors, Inc. and Heartland Group, Inc., we respect your right to privacy. We understand that the privacy and security of your nonpublic personal information is important to you and we maintain safeguards designed to protect your data from unauthorized access. We do not sell this information to anyone and only share such information with others as allowed by law and/or for the purpose of serving your investment needs.

Why We Collect Your Information

We collect only information that is either required or necessary to provide personalized financial services to you. Any information you choose to provide is kept confidential and allows us to:

• service your account;
• deliver products and services that may be of interest to you;
• prevent unauthorized access to your account;
• improve customer service; and
• comply with legal and regulatory requirements.

The Information We Collect

Depending on the nature of your relationship with us, we collect nonpublic personal information such as name, address, Social Security number, telephone number and income from the following sources:

• information we receive from you on applications or other forms, on our web site, or through other means;
• information we receive from you through transactions, correspondence and other communications with us; and
• information we otherwise obtain from you in connection with providing you a financial product or service.

The Information We Disclose

We do not share the information we collect about our customers or former customers with any third parties, except as necessary to service your investment needs. This means we may disclose the information we collect to our affiliates and companies who help us maintain and service your account. For example, we may share information with a transfer agent or clearing broker to process your securities transactions and update your account or to an external service provider so that your account statements can be printed and mailed. These companies are only permitted to use this information for the services for which we hired them and are not permitted to use or share this information for any other purpose.

We may also disclose nonpublic personal information to government agencies and regulatory organizations, when permitted or required by law.

Protection of Information

For your protection, we restrict access to your nonpublic personal information to those individuals who need to know that information to provide products and services to you. We maintain physical, electronic and procedural safeguards that are designed to comply with federal standards to maintain the confidentiality of your nonpublic personal information.

Updating and Correcting Your Account Information

The accuracy of your personal information is important to us. You can correct, update or confirm your personal information anytime by calling a Heartland representative at 1-800-432-7856.