ADVISER TO THE MAINGATE MLP FUND

Our Team

Our people form the foundation of our business

At Chickasaw Capital Management, our people are the heartbeat of our organization. Founded on the belief that our clients’ success stems from the dedication and well-being of our team, we foster an environment where each individual is valued, supported and empowered to thrive as an expert in their role.

Investment Team

Geoffrey P. Mavar

Principal

Matthew G. Mead

Principal

Bryan F. Bulawa

Principal

Robert M.T. Walker

Principal

Scott B. Warren, CFA

Senior Analyst

Luke B. Davis, CFA

Senior Analyst

Geoffrey P. Mavar

Principal

Geoffrey is a Principal and co-founder of Chickasaw Capital Management, LLC. He is a member of the firm’s Investment Committee. Geoffrey began his investment career at Goldman Sachs & Co. where he served for 11 years and was a Vice President. He began managing Midstream assets on a discretionary basis during his tenure at Goldman Sachs. Geoffrey graduated with a B.A. from The University of Mississippi in 1984. He received an MBA in Finance from the Owen Graduate School of Management at Vanderbilt University in 1990, and served on the Alumni Board of Directors of the Business School from 1999 to April 2007.

Matthew G. Mead

Principal

Matt is a Principal and co-founder of Chickasaw Capital Management, LLC. He is a member of the firm’s Investment Committee. Matt began his investment career at Goldman Sachs & Co. where he served for 9 years and was a Vice President. Matt began managing Midstream assets on a discretionary basis during his tenure at Goldman Sachs. He has diverse investment experience across public and private equity, fixed income, and derivative markets. Matt received his B.S. from Birmingham-Southern College in 1990, double majoring in Economics and Finance. He received an MBA from the Fuqua School of Business, Duke University in 1992. Matt has been a member of the Board of Directors of Oakworth Capital Bank since 2008.

Bryan F. Bulawa

Principal

Bryan is a Principal at Chickasaw Capital Management, LLC. He was most recently the Chief Financial Officer at Enterprise Products Partners, LP, having joined them in 2007 in the role of Treasurer. He was selected as the top-ranked CFO in the Natural Gas Pipeline and Master Limited Partnership sector by both buy-side and sell-side firms in Institutional Investor’s 2018 and 2019 surveys. Bryan successfully executed over $40 billion of equity and debt financing while maintaining an industry leading low-cost of capital, top-of-sector equity analyst ratings and credit ratings. Bryan was an active deal team member in the $6 billion Oiltanking M&A transaction, resulting in an interim role as Chairman of the Board for Oiltanking GP from October 2014 to February 2015. He served as an active deal team member in all partnership simplification transactions resulting in four publicly traded securities (NYSE listed: EPD/EPE/TPP/DEP) combining into one security and the elimination of Incentive Distribution Rights in 2010. Prior to Enterprise, Bryan enjoyed a career in corporate and investment banking for over a decade at Scotiabank. Bryan received his B.S. in Finance from the University of Wyoming in 1991.

Robert M.T. Walker

Principal

Robert is a Principal at Chickasaw Capital Management, LLC where he leads the firm’s research efforts. He is a member of the firm’s Investment Committee. Robert started his investment management career in 1999 with Haas, Incorporated, a family office in Memphis, and was an analyst with Trinity Capital, an equity hedge fund, before joining Chickasaw. He received his B.A. from Rhodes College in 1999, with a History major and a Business Administration minor. Robert received an MBA from the Owen Graduate School of Management, Vanderbilt University in 2005 where he was the Chairman of the Max Adler Student Investment Fund. He served on the Owen Alumni Board of Directors from 2013 to 2017.

Scott B. Warren, CFA

Senior Analyst

Scott is a Senior Analyst at Chickasaw Capital Management, LLC. He began his career with KPMG in 2010 as an Audit Senior Associate, and most recently served as a Valuation Senior Associate in Atlanta. While working in the KPMG valuation group, Scott performed business and asset valuations across diverse assignments including business combinations, and analysis of complex securities such as derivatives and loan portfolios using a variety of appraisal methods. He received his Master in Accountancy, cum laude in 2010 and his Bachelor of Accountancy (Minor in Finance) in 2008 from the University of Mississippi. He is a CFA® charterholder. He was also a Certified Public Accountant (2011-2015).

Luke B. Davis, CFA

Senior Analyst

Luke is a Senior Analyst at Chickasaw Capital Management, LLC. He graduated with a M.S. in Finance from Vanderbilt University, Owen Graduate School of Management in 2014 where he served as an analyst and portfolio manager for the Max Adler Student Investment Fund. Luke has completed internships at EBSCO Industries, Petra Life Services, and Hanson and Wells Partners. Luke graduated cum laude from Samford University in May 2013 with a B.S. in Finance and Economics where he was a University Fellow, a Presidential Scholar. He also served as an analyst and portfolio manager for Samford’s Bulldog Investment Fund. He is a CFA® charterholder.

Investor Relations: Institutions/Consultants

Steven M. Delarosa, CFA

Managing Director

Edward W. Kelly III

Managing Director

Steven M. Delarosa, CFA

Managing Director

Steve is a Managing Director at Chickasaw Capital Management, LLC focused on Institutional Client Development and Investor Relations. He has nearly three decades of institutional investment management experience and was previously Managing Director and Chief Marketing Officer for SSI Investment Management, Inc. Steve has held executive level positions with Highland Capital Management, LP as well as Western Asset Management. Steve’s expertise includes client development and investor relations to institutional investors throughout the US, Europe and Asia encompassing both traditional and alternative investments strategies. Steve graduated with a B.S. from the University of Southern California in Investment Finance & Marketing in 1989 and graduated with an MBA from the University of Southern California in Investment Finance in 1997. He is a CFA® charterholder.

Edward W. Kelly III

Managing Director

Ed is a Managing Director at Chickasaw Capital Management, LLC focused on Institutional Client Development and Investor Relations. Prior to joining Chickasaw Capital he was a Managing Director at Goldman Sachs Asset Management, where he served for 10 years. Ed was a senior client-facing portfolio advisor on the Alternative Investments & Manager Selection Team which invests in leading long-only, hedge fund, and private equity managers globally, providing investment and advisory solutions for over $120 billion in client assets. He has a broad advisory background serving Institutional Investors, Endowments, Foundations, Family Offices, and high net worth individuals. He graduated from the University of Alabama, Huntsville with a B.S. in Business Administration, Finance in 1989. Ed is a former member of the board of trustees for the Bonnie Brae School where he is a member of the investment committee.

Investor Relations: Intermediaries/Advisors

Andrew Z. Lapsley, CFA

Managing Director

Ralph Lettieri

Regional Sales Director

Andrew Z. Lapsley, CFA

Managing Director

Drew is a Managing Director at Chickasaw Capital Management, LLC, focused on the Client Portfolio Management team. He most recently was a Vice President at Goldman Sachs Asset Management where he served for 18 years. Drew was the lead Client Portfolio Manager for energy and infrastructure investing , having worked on the Goldman energy team since the inception of their fund(s). Drew began his career as an engineer at the Dow Chemical Company, and started his finance career in Houston in 1997 at AIM Management Group (now Invesco) in electronic commerce. Drew is a graduate of Mount Royal University and the University of Calgary, both in Alberta, Canada, and holds graduate degrees in Computer Science and Engineering. He is a CFA® charterholder.

Ralph Lettieri

Regional Sales Director

Ralph is the West Coast Regional Sales Director for Chickasaw Capital Management, LLC focused on providing ideas and solutions to assist Financial Advisors with their practices in the Western United States. He has more than 25 years of experience in the financial services industry with the majority of those years spent as a Vice President and Regional Director at Goldman Sachs & Co. Ralph most recently comes to Chickasaw Capital Management from EnTrust Global, an Alternatives Manager based in New York City, where he served as a Senior Vice President covering the Western United States. He previously worked as an auditor at KPMG in Short Hills, New Jersey, during which time he earned his Certified Public Accountant certification (1988-1990). Ralph graduated from Villanova University with a B.S. in Accountancy and graduated with an MBA from Penn State University.

Operations

Michael P. Donlon

Managing Director, Trading

Vickie Gardino

Managing Director, Trading

Andrew E. Garrett

General Counsel

Jeffrey L. Gammill

Chief Compliance Officer

William J. Threadgill, CPA

Controller

Greare Sutherland

Director of Operations

Alicia G. Ross

Client Analyst

Heather Ottinger

Client Analyst

Michael P. Donlon

Managing Director, Trading

Mike is a Managing Director at Chickasaw Capital Management, LLC, focused on trading. He has over 25 years of trading experience most recently with Scott & Associates where he was focused on derivative hedging transactions for clients active in commodity markets. Previously, he was Managing Director, Head of Trading at Forest Hill Capital, and was a NASDAQ trader for Morgan, Keegan & Company where he was a market maker for as many as 50 stocks, handled order flow for institutional and retail clients, and risked capital to create liquidity for clients. Mike graduated with a BA in Political Science from the University of Alabama in 1990.

Vickie Gardino

Managing Director, Trading

Vickie is a Managing Director at Chickasaw Capital Management, LLC, focused on trading. Her expertise includes all aspects of trading. Vickie served as a Client Analyst at Goldman Sachs & Co. for 7 years in Memphis and was the lead support person for a six-person investment advisory team. She has broad industry experience with over 32 years in the securities business.

Andrew E. Garrett

General Counsel

Andy is the General Counsel at Chickasaw Capital Management, LLC, where he manages all legal work for the firm. Prior to joining Chickasaw Capital, Andy was an Associate with Waller Lansden Dortch & Davis, LLP where he advised public and private companies on corporate finance, regulatory compliance, mergers and acquisitions and corporate governance. Andy assisted clients with all aspects of issuing publicly traded securities, as well as ongoing general corporate governance and securities law compliance. Andy also has significant experience with private placements, mergers and acquisitions, other strategic transactions, and general corporate matters. Previously he was an Associate at Bass, Berry & Sims PLC. Andy received his BA in History in 2007 from Dartmouth College and his JD in 2010 from the University of Virginia School of Law.

Jeffrey L. Gammill

Chief Compliance Officer

Jeff is the Chief Compliance Officer at Chickasaw Capital Management, LLC. His responsibility is to formulate and communicate a compliance vision which effectively manages and mitigates risk, establishes proper controls and supports business initiatives. Prior to joining Chickasaw Capital, Jeff was a Director and Complex Supervisory Officer for UBS Financial Services Inc. in Chicago, IL, and prior to his time at UBS, Jeff spent 14 years as Vice President and Regional Supervisory Manager at JP Morgan Securities, LLC, (previously Bear, Stearns & Co. Inc.) supervising retail brokerage and investment advisory activities in the Chicago PCS office as well as three satellite locations in the Midwest. Jeff has over 35 years of financial industry experience covering broker operations and trading, with over 25 of those years focused in compliance, supervision, branch administration and personnel management. Jeff works closely with the Firm’s CEO as a liaison with the various regulatory agencies and works to keep the Firm’s policies and procedures current with industry standards. Jeff began his financial services career at Charles Schwab in 1987.

William J. Threadgill, CPA

Controller

Will is the Controller at Chickasaw Capital Management, LLC where he manages internal accounting functions. He joined from KPMG, LLC where he was most recently a Manager having previously served as an Audit Associate and an intern. At KPMG, Will led numerous audit engagements across a wide range of industries and business combination projects. Will received his Master in Taxation in 2011 and his Bachelor of Accountancy in 2010 from the University of Mississippi. He is a Certified Public Accountant.

Greare Sutherland

Director of Operations

Greare is Director of Operations at Chickasaw Capital Management, LLC. He has over 25 years of experience in the financial services operations industry, specifically leading operations teams with respect to the separately managed accounts business at broker dealer and investment management firms. Greare was most recently with Morgan Keegan & Company, Inc., where he also began his career, serving as First Vice President and Director of Operations for the Investments Department. Prior to Morgan Keegan, Greare worked for Bank of America, Inc., INVESCO, Inc. and J.C. Bradford & Company. He graduated from the University of Alabama with a B.S. in Finance and Investment Management and subsequently received his MBA in Finance from the University of Memphis.

Alicia G. Ross

Client Analyst

Alicia is a Client Analyst at Chickasaw Capital Management, LLC handling many aspects of operations including trade reconciliation and settlement, onboarding new accounts, and assisting clients. Alicia previously served as a Senior Performance Analyst at a leading investment consultant in Memphis, responsible for performance reporting for institutional and high net worth clients for 5 years. Prior to her tenure in the investment business, she was a Computer Specialist and SAP Business Analyst with the U.S. Navy for 5 years, serving as the functional team leader for the MWR department’s global rollout of various SAP modules. Alicia graduated from Auburn University with a B.S. in Finance in 1993.

Heather Ottinger

Client Analyst

Heather is a Client Analyst at Chickasaw Capital Management, LLC handling many aspects of operations including trade reconciliation, onboarding new accounts, and assisting clients. She began her career at First Tennessee Bank as a project manager then department manager in Loan Operations. From there she joined Merrill Lynch in Washington DC, where she was an Assistant to the District Director and supported District Managers in 27 District offices. Heather also worked for the Merrill Lynch office in Memphis where she supported Financial Consultants in managing their businesses, as well as for the District Manager. Before joining Chickasaw, she was a member of a high net worth team at Morgan Stanley in St. Louis as a Registered Client Associate. Heather is a graduate of Rhodes College.

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Transparency in Coverage

This link leads to the machine-readable files that are made available in response to the federal Transparency in Coverage Rule and includes negotiated service rates and out-of-network allowed amounts between health plans and healthcare providers. The machine-readable files are formatted to allow researchers, regulators, and application developers to more easily access and analyze data.

https://www.bcbst.com/tcr

Business Continuity Planning
Chickasaw Capital Management, LLC
Chickasaw Securities, LLC
Business Continuity Planning

We have developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions are unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us – If after a significant business disruption you cannot contact us as you usually do at 901-537-1866 or 800-743- 5410, you should go to our web site at www.chickasawcap.com for further direction.

Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

We back up important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, our objective is to restore operations and be able to complete existing transactions and accept new transactions and payments within 24 hours. Your orders and requests for funds and securities could be delayed during this period.

Varying Disruptions – Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within 2 hours. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within 24 hours. In either situation, we plan to continue in business and notify you how to contact us through our web site www.chickasawcap.com. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customers prompt access to their funds and securities.

For more information – If you have questions about our business continuity planning, you can contact us at 901-537-1866 or 800-743-5410.

Chickasaw Capital Management, LLC
Social Media Guidelines

Chickasaw Capital Management, LLC (“Chickasaw”) is not affiliated with any social media site and does not expressly or implicitly adopt or endorse any products, sponsored or promoted content, services, advertisements, recommendations, opinions, statements, comments, or responses that may appear on any social media site, including social media sites that it actively participates in. Use at your own risk. Opinions or comments expressed by third-party users of each social media site are those of the persons submitting them and do not represent the view of Chickasaw. Read the terms of service and privacy policy on each social media site.

Chickasaw social media accounts are open to the public. Anything posted to our social media networks may be seen and read by everyone. Chickasaw does not endorse any comments made by third parties, including, but not limited to vendors, consultants, and unauthorized employees. Chickasaw reserves the right to remove any comments or content depending on the comment or response structure of a particular social media site and the editorial policies and content guidelines of the particular social media site. For example, comments or responses may be removed if they constitute defamatory statements; threatening language; materials that infringe on intellectual property rights; materials that contain viruses, spam or other harmful components; racially offensive statements; or profanity.

The views and opinions expressed on Chickasaw spokesperson accounts are those of each individual and do not necessarily represent those of Chickasaw. The comments are provided for informational purposes only and should not be construed as investment advice or an offer or solicitation to buy or sell any security, product or service of Chickasaw or any third party.

Social media sites on which Chickasaw participates may be moderated. Chickasaw may manage a variety of social media channels, and to the extent permitted by the comment or response structure of a particular social media site and the editorial policies and content guidelines of the particular social media site, Chickasaw strives to create an informative and engaging community. To this end, Chickasaw asks that you keep any dialog respectful of others, and refrain from any discussion about investment advice, specific securities, or investment strategies. Chickasaw expects that social media communications between Chickasaw and its intended audience will be lawful, productive, informative, and respectful of diverse viewpoints. Chickasaw’s social media activities are intended for U.S. persons only.

Chickasaw’s social media sites are not intended to provide advice on legal, tax or accounting matters and any information on Chickasaw’s social media sites is not intended or written to be used, and cannot be used, for the purpose of avoiding penalties that may be imposed on any taxpayer under U.S. federal income tax laws. Investors should consult their own legal, tax, accounting, investment or other advisors and obtain their own independent tax advice at both the onset of any transaction and on an ongoing basis to determine the laws and analyses applicable to their specific circumstances.

Chickasaw gives no guarantees with respect to the success of its investment management services and has not authorized any person to represent or guarantee any particular investment results. Any historical data provided on Chickasaw’s social media sites are solely for the purpose of illustrating past performance and not as a representation or prediction that such performance could or will be achieved in the future. Securities are subject to numerous risks, including market, currency, economic, political and business risks. Investments in securities will not always be profitable, and investors may lose money, including principal. Past performance is no guarantee of future results.

Transaction requests, account inquiries or complaints of any sort related to the activities or business dealings of Chickasaw or its employees should not be made through any social media site. If you believe, in good faith, that material available on a Chickasaw social media site is infringing on your intellectual property rights, please contact us at ChickasawCompliance@chickasawcap.com.

Please visit our web site at www.chickasawcap.com for more information.

Last Revised: 3/31/2021

Terms

Last updated January 13, 2016

The www.chickasawcap.com website (the “Website”) is a service of Chickasaw Capital Management, LLC (“CCM,” “us” or “we”). These www.chickasawcap.com Terms & Conditions and any additional terms or conditions that we post on the Website from time-to-time (“Terms”) set forth the terms and conditions under which you may enter and use the Website. As used herein CCM means CCM and its affiliates.

Please read the Terms carefully. By entering or using the Website, you agree to the Terms. If you do not agree to the Terms (without modification), you are not authorized to view or use the Website.

CCM reserves the right to modify or change the Terms at any time without prior notice to you. Such modification or change shall be effective upon posting on the Website. If CCM revises the Terms, it will also revise the “Last Updated” date at the top of this page. The most current version of the Terms can be reviewed by clicking on the “Terms & Conditions” hypertext link located at the bottom of CCM’s web pages. Your continued entry to and/or use of the Website after CCM posts any revised Terms constitutes your agreement to any such revised Terms.

Disclaimer: This material should not be construed as an offer to sell or the solicitation of an offer to buy any security in any jurisdiction where such an offer or solicitation would be illegal. We are not soliciting any action based on this material, nor are we making any recommendation. This material is general information. It does not take into account the particular investment objectives, financial situations, or needs of individual clients. Before acting on any advice or recommendation in this material, you should consider whether it is suitable for your particular circumstances and, if necessary, seek professional advice. Securities or financial instruments mentioned in the Website may not be suitable or appropriate for all investors or in all geographical areas.

Nothing contained on this Website constitutes tax, legal, insurance or investment advice. In exchange for using this Website, the visitor agrees to indemnify and hold CCM, its officers, directors, employees, affiliates, agents, licensors and suppliers harmless against any and all claims, losses, liability, costs and expenses (including but not limited to attorneys’ fees) arising from your violation of these Terms.

THE INFORMATION AND SERVICES PROVIDED ON THIS WEBSITE ARE PROVIDED “AS IS” AND WITHOUT WARRANTIES OF ANY KIND, EITHER EXPRESSED OR IMPLIED. TO THE FULLEST EXTENT PERMISSIBLE PURSUANT TO APPLICABLE LAW, CCM DISCLAIMS ALL WARRANTIES, INCLUDING, BUT NOT LIMITED TO, ANY WARRANTY OF NON-INFRINGEMENT OF THIRD-PARTY RIGHTS AND ANY IMPLIED WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE. CCM DOES NOT WARRANT, EITHER EXPRESSLY OR IMPLIEDLY, THE ACCURACY OR COMPLETENESS OF THE INFORMATION, TEXT, GRAPHICS, LINKS OR OTHER ITEMS CONTAINED ON THIS WEBSITE AND DOES NOT WARRANT THAT THE FUNCTIONS CONTAINED IN THIS WEBSITE WILL BE UNINTERRUPTED OR ERROR-FREE, THAT DEFECTS WILL BE CORRECTED, OR THAT THE WEBSITE WILL BE FREE OF VIRUSES OR OTHER HARMFUL COMPONENTS.

General Use and Restrictions

Use of Website. Conditioned upon, and subject to, your strict compliance with the Terms, CCM grants you a personal, non-exclusive, non-transferable, limited license to enter and use the Website to view information. You agree not to enter or use the Website for any purpose that is prohibited by these Terms or is otherwise unlawful. You further agree to comply with all applicable U.S. and international laws, statutes, ordinances, regulations, contracts and applicable licenses regarding your use of the Website.

Information Provided. If you provide any information to us, you agree to provide only true, accurate, current and complete information.

Use of Content. You may print or copy any information displayed or transmitted on the Website (collectively, “Content”) that you are authorized to access, solely for informational and non-commercial, personal use; provided that you (a) do not remove any title, trademark, copyright and/or restricted rights notices contained on such Content, and (b) strictly comply with the provisions of the Terms.

Restrictions. Except as provided in above, you may not (and you agree that you will not) reproduce, alter, modify, create derivative works, or publicly display any Content without first receiving CCM’s express written permission.

Trademarks, Copyrights and Other Intellectual Property

Except for Content that is in the public domain, the Website and all original Content, as well as the selection and arrangement of the Content, is owned by (or licensed to) CCM or its suppliers and is protected by copyright, trade dress, trademark, unfair competition, and/or other laws and may not be used, copied or imitated in whole or in part except as expressly provided herein.

Links to Other Websites: CCM may provide hyperlinks to other web sites and Internet resources operated by parties other than CCM. CCM has no control over such sites and resources or their privacy policies.

Links to CCM From Other Websites: Subject to the further provisions of this Section, CCM must pre-approve links to the Website from other web sites.

Transmissions to and From This Website: Electronic communications can be intercepted by third parties and, accordingly, transmissions to and from this Website may not be secure. Communications to CCM, particularly those containing confidential information, may be sent by mail to: Chickasaw Capital Management, 6075 Poplar Avenue, Suite 720, Memphis, TN 38119.

Jurisdiction: The information provided on this Website is not intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution or use would be contrary to law or regulation or which would subject CCM or its affiliates to any registration requirement within such jurisdiction or country.

Integration, Severability and Governing Law: These Terms shall be subject to any other agreements you have entered into with CCM. Your access to and use of the Website, and the terms of this disclaimer are governed by Tennessee law. Any action against CCM arising from or relating to your access to and/or use of the Website and the provisions of these Terms must be brought by you in state or federal court located in the State of Tennessee, County of Shelby.

Chickasaw Capital Management, LLC
Chickasaw Securities, LLC
Privacy Policy

Effective as of March 13, 2020

We are committed to keeping the personal information collected from our potential, current and former customers confidential and secure. The proper handling of personal information is one of our highest priorities. We want to be sure that you know why we need to collect personal information from you. We also want to explain to you our commitment to protect the information you provide to us. We never sell your information to any outside parties.

Customer Information

We collect and keep only information that is necessary for us to provide services requested by you and to administer your business with us. We may collect nonpublic personal information:

  • From you when you complete an application or other form or when you disclose the information during a consultation. This includes information such as name, address, birth date, social security number, assets, income, occupation, net worth and other information deemed necessary to evaluate your financial needs.
  • As a result of transactions with us, or with our affiliates or others. This could include transactions completed with us, information received from outside vendors to complete transactions or to effect planning goals.

Sharing Information

Financial companies choose how they share your personal information. Federal law gives the consumer the right to limit some but not all sharing. All financial companies need to share their customers’ personal information to run their everyday business. We only share your nonpublic personal information with non‐affiliated companies, affiliates or individuals as permitted or required by law.

When we provide personal information to a service provider, we require these providers to agree to safeguard your information, to use the information only for the intended purpose, to perform the specific service we have requested, and to abide by applicable law.

Internet Access

We provide a website on the Internet for our company which is informational only. You should check the privacy policy for any links provided upon leaving our web site. We provide access to your securities accounts via the Internet. Your password is your private entry key into your account. You should never share it with anyone, and you should change it periodically.

Access to Information

Only persons with a valid business reason have access to your personal information. These persons are educated on the importance of maintaining the confidentiality and security of this information. They are required to abide by our information handling practices.

Protection of Information

We maintain security standards to protect your information, whether written, spoken, or electronic. We update and test our systems to ensure the protection and integrity of information.

Disclosure of Our Privacy Policy

As a member of the financial services industry, we are sending you this Notice of Privacy Policy for informational purposes and will update and distribute it as required by law. It is also available upon request.

Opt Out Provision

If you prefer that we not disclose nonpublic personal information about you to nonaffiliated third parties, you may opt out of those disclosures, that is, you may direct us not to make those disclosures (other than disclosures permitted or required by law). If you wish to opt out of disclosures to nonaffiliated third parties, you may call the following toll‐free number: 1‐800‐743‐5410.

Former Customers

If your customer relationship with us ends, we will not destroy your personal information unless required or permitted by law. We will continue to treat your personal information in accordance with this Privacy Policy and applicable laws.

Internet Tracking Disclosure

We do not have the protocol that offers you the choice to opt‐out of internet tracking. You may reset your web browser to enable do not track functionality if your browser supports it.

Cookies

When you visit our site, we may collect information about your use of our site through “cookies”. Cookies are small bits of information transferred to your computer’s hard drive that allow us to know how often a user visits our site and the activities they are most interested in performing. We require the acceptance of cookies to enable users to take full advantage of specific services offered.

Additional Disclosures for California Residents

We may collect, process or disclose certain personal information of California residents that is subject to certain provisions of the California Consumer Privacy Act of 2018, as amended (the “CCPA”). California residents have the following rights with respect to such personal information to the extent such information is subject to the provisions of the CCPA.

Category of Personal Information

Examples

Whether Collected

Whether Disclosed for a Business Purpose

(A) Identifiers

Real name, alias, postal address, unique personal identifier, online identifier, Internet Protocol address, email address, account name, social security number, driver’s license number, passport number, or other similar identifiers

YES

YES

(B) Personal information categories listed in the California Customer Records statute

Name, signature, social security number, physical characteristics or description, address, telephone number, passport number, driver’s license or state identification card number, insurance policy number, education, employment, employment history, bank account number, credit card number, debit card number, or any other financial information

YES

YES

(C) Protected classifications

Age, race, color, ancestry, national origin, citizenship, religion or creed, marital status, medical condition, physical or mental disability, sex/gender, sexual orientation, veteran status, genetic information

YES

YES

(D) Commercial information

Records of personal property, products or services purchased, obtained, or considered, or other purchasing or consuming histories or tendencies

YES

YES

We obtain the categories of personal information listed above from the following categories of sources:

  • Directly from the California resident or his/her agent. For example, from documents and information that our clients provide to us.
  • Indirectly from the California resident or his/her agent. For example, through information we collect from visitors interacting with our web site.
  • From third parties that interact with us in connection with the investment advisory services we provide.

For questions or concerns about our privacy practices, please contact us at:

Phone: 901‐537‐1866 or 800‐743‐5410
Website: www.chickasawcap.com

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