Legal Notices AT ONE CAPITAL MANAGEMENT, LLC WE RESPECT YOUR PRIVACY This privacy notice is being sent on behalf of One Capital Management, LLC and its Investment Advisory Representatives (collectively called OCM.) We recognize our obligation to keep information about you secure and confidential. It’s important for you to know that we do not sell your information to anyone. We restrict access to non-public personal information about you to those Investment Advisory Representatives and employees who need to know that information to provide products or services to you. We also maintain physical, electronic, and procedural safeguards to guard your non-public personal information. This notice describes how we handle your financial information that we collect while conducting our business. We collect information about you (such as your name, address, social security number, assets and income) from our discussions with you, and from documents that you may deliver to us in the course of providing services to you. We may use this information to open an account for you or to process a transaction for your account. In order to service your account and effect your transactions, we may provide your personal information to firms (such as a custodial broker-dealer) that assist us in servicing your account and have a need for such information, as permitted by law and to third parties who are referring parties and with whom OCM has entered into a written referral agreement. We may also disclose such information to the Securities & Exchange Commission, and any other governmental or quasi-governmental agency that oversees or has any jurisdiction over our activities, including a court of law, an arbitration panel, or any securities regulator. Some of OCM’s Investment Advisory Representatives independently provide insurance, securities brokerage and other services to you. All of the information that OCM collects through its Investment Advisory Representatives who are also employed in other businesses will be available to them in those other business capacities. Investment Advisory Representatives will not disclose the information if you notify us that you do not want the information used in any capacity other than the one in which you have dealt with the Investment Advisory Representative. If you prefer that we not disclose non-public, personal information about you to non-affiliated third parties, (other than those disclosures permitted by law) or to OCM Investment Advisory Representatives for use in their other businesses, you may opt out of those disclosures that is, you may direct us not to make those disclosures. If you wish to opt out of disclosures to non affiliated third parties, you may write to the following address: One Capital Management, LLC 2945 Townsgate Road, Suite 300 Westlake Village, CA 91361 Tel: (805) 409-8150 DISASTER PREPAREDNESS & BUSINESS CONTINUITY PLAN OCM has 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 is 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. OCM has 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 is 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 you should call your custodian as follows; For Charles Schwab Accounts
www.schwab.com
1-800-435-4000

For TD Ameritrade Accounts
www.tdainstitional.com
1-800-669-3900

For Merrill Lynch Accounts
www.ml.com
1-800-637-7455

For NBCN Accounts
www.nbcn.com
1-416-869-6695

For Union Bank of California Accounts
www.unionbank.com
1-800-238-4486

For RBC Accounts
www.investor-connect.com
1-866-506-8594

For Pershing Accounts
www.pershing.com
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.