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Customer Privacy Policy Notice

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In accordance with Securities and Exchange Commission regulations, we are providing the following privacy notice of Palm Valley Capital Management.  Palm Valley Capital Management is the adviser to the Palm Valley Capital Fund, a series of the Series Portfolios Trust.

 

Commitment to Your Private Information:  Palm Valley Capital Management has a policy of protecting the confidentiality and security of information we collect about our clients.  We do not, and will not, share non-public personal information (“Information”) about you with outside third parties without your consent, except for the specific purposes described below.  This notice has been provided to you to describe the Information we may gather and the situations under which we may need to share it. 

 

Why We Collect and How We Use Information:  We limit the collection and use of Information within our firm to only those individuals associated or employed with us that must have Information to provide financial services to you.  Such services include maintaining your accounts, processing transaction requests, and providing the advisory services described in our Form ADV.

 

How We Gather Information:  We get most Information directly from you when you provide us with information from any of the following sources:

 

  • Applications or forms (for example: name, address, social security number, birth date, assets, income, financial history)

  • Transactional activity in your account (for example: trading history and account balances)

  • Information services and consumer reporting sources (for example: to verify your identity or to assess your credit history)

  • Other sources with your consent (for example: your insurance professional, attorney or accountant)

 

How We Protect Information:  Our employees and affiliated persons are required to protect the confidentiality of Information and to comply with our stated policies.  They may access Information only when there is an acceptable reason to do so, such as to service your account or provide you with financial services.  Employees who violate our Privacy Policy are subject to disciplinary action, up to and including termination from employment with us.  We also maintain physical, electronic and procedural safeguards to protect Information, which comply with applicable SEC, state, and federal laws.

 

Sharing Information with Other Companies Permitted Under Law:  We do not disclose Information obtained in the course of our practice except as required or permitted under law.  Permitted disclosures include, for instance, providing Information to unrelated third parties who need to know such Information in order to assist us with the provision of services to you.  Unrelated third parties may include broker/dealers, mutual fund companies, insurance companies, and the custodian with which your assets are held.  In such situations, we stress the confidential nature of Information being shared. 

 

Former Customers:  Even if we cease to provide you with financial products or services, our Privacy Policy will continue to apply to you and we will continue to treat your non-public information with strict confidentiality.

 

Information Collected from Websites:  Websites maintained by Palm Valley Capital Management may use a variety of technologies to collect information that helps Palm Valley understand how the website is used.  Information collected from your web browser (including small files stored on your device that are commonly referred to as “cookies”) allow the websites to recognize your web browser and monitor and analyze web traffic.  You can change your cookie preferences by changing the setting on your web browser to delete or reject cookies. Palm Valley does not look for web browser “do not track” requests.  We also embed statistical tools from other (third party) sites, specifically Google Analytics. Information on this third party site, and how you may opt out of receiving cookies from it, can be found at https://tools.google.com/dlpage/gaoptout.  If you sign up for Palm Valley’s email distribution list, Palm Valley may have personally identifiable information about you.  You can request removal from this email list at any time. 

 

If you have any questions concerning Palm Valley Capital Management’s customer privacy policy or concerns about your personal information, please feel free to call us at 904-747-2345 or email us at invest@palmvalleycapital.com with “Privacy Policy Notice” in the subject line.

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