Terms of Use - Legal Disclaimers | Haverkamp Investments

Please read these terms and conditions carefully. By accessing this Web site, you agree to be bound by the terms and conditions below. These terms and conditions are subject to change. We will notify you of amendments to these terms and conditions by posting them to this web page. If you do not agree with these terms and conditions, please do not access this website.

Us of this website may be monitored, tracked and recorded. Anyone using this website expressing consents to such monitoring, tracking and recording.

Copyright Notices

The works of authorship contained in this website, including but not limited to all design, text, sound recordings, and images, are owned, except as otherwise expressly stated, by Haverkamp Investments, Inc. (“HI”). Except as otherwise expressly stated herein, they may not be copied, transmitted, displayed, performed, distributed (for compensation or otherwise), licensed, altered, framed, stored for subsequent use, or otherwise used in whole or in part in any manner without HI’s prior written consent, except to the extent permitted by the Copyright Act of 1976 (17 U.S.C. §107), as amended, and then only with notices of HI’s proprietary rights, provided that you may download information and print out hard copy for your personal use, so long as you do not remove any copyright or other notice as may be contained in information as downloaded.

No Investment Advice or Offers

Nothing on the website constitutes investment advice or recommendations as to the suitability of any specific product or security. All content is provided for your convenience and information only, and no such content shall constitute an offer to sell or a solicitation of an offer to buy any security. Prior to the execution of any transaction by you involving information you received from this website, you should consult your financial, business, tax and accounting advisors and your attorney. The content provided on this website are not provided to and may not be used by any person or entity in any jurisdiction where the provision or use thereof would be contrary to applicable laws, rules or regulations of any governmental authority or regulatory or self-regulatory organization or clearing organization or where Haverkamp is not authorized to provide such information or services.

Private Placements often are speculative, typically have higher fees than traditional investments, often include a high degree of risk and are appropriate only for eligible, long-term investors who are willing to forgo liquidity and put capital at risk for an indefinite period of time. They may be highly illiquid and can engage in leverage and other speculative practices that may increase volatility and risk of loss. Investments in private placements are not suitable for all investors and investors who cannot afford to lose their entire investment should not invest. Returns are not guaranteed.

Interests in private placements are distributed by Haverkamp Investments, Inc. (“HI”) and are not FDIC-insured; are not deposits or other obligations of HI or any of its affiliates and are not guaranteed by HI and its affiliates. Past performance is not indicative of future results. HI is a registered broker-dealer, not a bank.

Dated and Forward-Looking Statements

Certain information on the website may contain certain forward-looking statements, which are subject to risks and uncertainties and speak only as of the date on which they are made. The words “believe”, “expect”, “anticipate”, “optimistic”, “intend”, “aim”, “will” or similar expressions are intended to identify forward-looking statements. You are cautioned not to place undue reliance on these forward-looking statements. Any dated information is published as of its date only. Dated and forward-looking statements speak only as of the date on which they are made. We undertake no obligation to update publicly or revise any dated or forward-looking statements.

Links to Other Sites

Links to non- Haverkamp Investments, Inc. (“HI”) websites are provided solely as pointers to information on topics that may be useful to users of the HI website, and HI has no control over the content on such non-HI websites. If you choose to link to a website that is not controlled by HI, HI makes no warranties, either express or implied, concerning the content of such site, including the accuracy, completeness, reliability, or suitability thereof for any particular purpose, nor does HI warrant that such site or content is free from any claims of copyright, trademark, or other infringement of the rights of third parties or that such site or content is devoid of viruses or other contamination. HI does not guarantee the authenticity of documents on the Internet. Links to non-HI sites do not imply any endorsement of or responsibility for the opinions, ideas, products, information, or services offered at such sites, or any representation regarding the content at such sites.

Limitation of Liability

Haverkamp Investments, Inc. (“HI”) makes no warranty, express or implied, concerning this service. The services provided by HI and its third-party providers are on an “AS IS” basis at your sole risk. HI expressly disclaims any implied warranty of merchantability or fitness for a particular purpose, including without limitation any warranty for the use or the results of the use of the services with respect to their correctness, quality, accuracy, completeness, reliability, performance, timeliness, or continued availability.

Customer Complaint Notice Disclosure Statement – SEC Rule 17a-3(a)(18)(ii)

Haverkamp Investments, Inc., in accordance with Rule 17a-3(a)(18)(ii), is furnishing this statement to provide you with a name, telephone number and address, if you ever need to report or notify us of a possible complaint. If, for any reason, you feel you have a complaint, please contact our Chief Compliance Officer immediately at:

Haverkamp Investments, Inc.

510 S. 17^th Street, Suite 104

Ames, IA 50010

Attn: Chief Compliance Officer

Business Continuity Plan Notice

Haverkamp Investments, Inc. (“HI”) has developed a Business Continuity Plan (“BCP”) to manage and mitigate the impact of events that have the potential to significantly disrupt 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 transpire. The BCP is designed to enable us to recover and return to business operations as quickly as possible.

In the event of a significant business disruption, we will assess which means of communication are still available to us and communicate accordingly with clients, where necessary. If you cannot communicate with us as you usually do, you should contact us at info@haverkampinvestments.com.

We believe that we have implemented reasonable measures to quickly resume business operations after a significant business disruption and safeguard our employees, property, and books and records. The BCP 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, bank, and counter-party impact; and regulatory reporting.

Significant business disruptions can vary in their scope, such as affecting 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. We plan to mitigate the impact of a disruption through a combination of data redundancy and remote computing. However, in the event of a business disruption, HI cannot guarantee that it will be able to continue or resume business operations within any specified period of time.

If you have questions about the BCP, you can contact us at info@haverkampinvestments.com or Haverkamp Investments, Inc. 510 S. 17^th Street, Ste. 104, Ames, IA 50010.

Anti-Money Laundering (Customer Identification Program Notice)

Important Information You Need to Know About Opening A New Account

To help the government fight the funding of terrorism and money laundering activities, federal law requires financial institutions to obtain, verify, and record information that identifies each person who opens an account.

This Notice answers some questions about Haverkamp Investments, Inc.’s (“HI”) Customer Identification Program.

What types of information will I need to provide?

When you open an account, HI is required to collect information such as the following from you:

Your name
Date of birth
Address
Identification number
US Citizen: taxpayer identification number (social security number or employer identification number)
Non-US Citizen: taxpayer identification number, passport number, and country of issuance, alien identification card number, or government-issued identification showing nationality, residence, and a photograph of you
You may also need to show your driver's license or other identifying documents

A corporation, partnership, trust or other legal entity may need to provide other information, such as its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, a partnership agreement, or a trust agreement.

US Department of the Treasury, Securities and Exchange Commission, FINRA, and New York Stock Exchange rules already require you to provide most of this information. These rules also may require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance.

What happens if I don't provide the information requested or my identity can't be verified?

HI may not be able to open an account or carry out transactions for you. If we have already opened an account for you, we may have to close it.

We thank you for your patience and hope that you will support the financial industry's efforts to deny terrorists and money launderers access to the financial services industry.

Terms of Use - Legal Disclaimers