Legal

Privacy notice

Rev. 2/2026

Privacy Notice

FACTS

What does Duncan Williams Asset Mgmt do with your personal information?

Why? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.

What? The types of personal information we collect and share depend on the product or service you have with us. This information can include:

Social Security number and income
account balances and transaction history
investment experience and account transactions

When you are no longer our customer, we continue to share your information as described in this notice.

How? All financial companies need to share customer’s personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customer’s personal information; the reasons Duncan Williams Asset Management chooses to share; and whether you can limit this sharing.

Reasons we can share your personal information
Reasons we can share your personal information	Does Duncan Williams Asset Mgmt share?	Can you limit this sharing?
For our everyday business purposes—such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus	Yes	No
For our marketing purposes—to offer our products and services to you	Yes	No
For joint marketing with other financial companies	No	We don’t share
For our affiliates’ everyday business purposes—information about your transactions and experiences	No	We don’t share
For our affiliates’ everyday business purposes—information about your creditworthiness	No	We don’t share
For non-affiliates to market to you	No	We don’t share

Questions?

Call 901-435-4250 or go to www.dwassetmgmt.com

Who we are

Who is providing this notice?

DUNCAN WILLIAMS ASSET MANAGEMENT, LLC

What we do

How does Duncan Williams Asset Management protect my personal information?

To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.

How does Duncan Williams Asset Management collect my personal information?

We collect your personal information, for example, when you

open an account or give us your income information
tell us about your portfolio or deposit money
enter into an investment advisory contract

Why can’t I limit all sharing?

Federal law gives you the right to limit only

sharing for affiliates’ everyday business purposes—information about your creditworthiness
affiliates from using your information to market to you
sharing for non-affiliates to market to you

State laws and individual companies may give you additional rights to limit sharing.

Definitions

Affiliates

Companies related by common ownership or control. They can be financial and nonfinancial companies.

Duncan Williams Asset Management does not have affiliates.

Non-affiliates

Companies not related by common ownership or control. They can be financial and nonfinancial companies.

Duncan Williams Asset Management does not share with non-affiliates so they can market to you.

Joint marketing

A formal agreement between nonaffiliated financial companies that together market financial products or services to you.

Duncan Williams Asset Management does not jointly market.

Other important information

Questions?

Questions about our privacy policy?

We're happy to walk you through how we handle your information. Reach out and we'll get you a clear answer.