Stationery Ordering & Requirements - Simplicity Investments

All stationery, including business cards, must be submitted to and approved by our compliance department.

Stationery Sample:

Front

Back

Guidelines for Business Cards & Stationery

The following disclaimer must be on all business cards and stationery:
Securities offered through Simplicity Investments, Member FINRA/SIPC, 475 Springfield Ave, Summit, NJ 07901.

If you list your company name, you must also state ABC Company is not affiliated with Simplicity Investments.

Your Archived email address needs to go on your business card.

Unless you have a license, degree, or professional designation, you cannot use a title that might mislead the public that you have that license, degree, or designation. Generic titles such as Registered Representative, Agent, Sales Representative are acceptable. Any other titles must be pre-approved by Simplicity Investments.

All business cards must be approved by the Compliance Department prior to use, and must be submitted annually for inspection.

If you have any questions please call the Simplicity Investments Compliance Department at (303) 797-9080 or si.compliance@simplicitygroup.com.

Category	Examples	Collected
A. Identifiers	Contact details, such as real name, alias, postal address, telephone or mobile contact number, unique personal identifier, online identifier, Internet Protocol address, email address, and account name	YES
B. Personal information categories listed in the California Customer Records statute	Name, contact information, education, employment, employment history, and financial information	YES
C. Protected classification characteristics under California or federal law	Gender and date of birth	YES
D. Commercial information	Transaction information, purchase history, financial details, and payment information	NO
E. Biometric information	Fingerprints and voiceprints	NO
F. Internet or other similar network activity	Browsing history, search history, online behavior, interest data, and interactions with our and other websites, applications, systems, and advertisements	NO
G. Geolocation data	Device location	NO
H. Audio, electronic, visual, thermal, olfactory, or similar information	Images and audio, video or call recordings created in connection with our business activities	NO
I. Professional or employment-related information	Business contact details in order to provide you our Services at a business level or job title, work history, and professional qualifications if you apply for a job with us	NO
J. Education Information	Student records and directory information	NO
K. Inferences drawn from other personal information	Inferences drawn from any of the collected personal information listed above to create a profile or summary about, for example, an individual’s preferences and characteristics	NO
L. Sensitive Personal Information	Account login information, contents of email or text messages, debit or credit card numbers, drivers’ licenses and social security numbers	YES