Privacy Policy for Customers - Protecting Your Privacy
Our Commitment to Privacy
Your privacy is important to us. We recognize and respect your wish for privacy and we will continue to protect the information you share with us either in person, by telephone, by mail, or via the Internet. We have always been committed to maintaining the confidentiality, integrity and security of personal information entrusted to us by current, prospective, and former customers. This notice describes our privacy policies and practices with respect to non-public personal information (the “Information”) and is designed to help you understand what Information we gather, how we use and protect that Information and the circumstances under which we may share that Information.
Collecting Customer Information
The primary reason that we collect and maintain Information about you is to open and service your account. The categories of Information that we collect are as follows:
- Information we receive from you or your representatives on applications and other forms such as your name, address, telephone number, fax number, email address, social security number, birth date, bank reference, family information, financial information, financial goals and name, address and telephone number of your employer.
- Information about your transactions and account experience with us, such as your holdings and trades.
- Information we may receive from a consumer reporting agency.
How We Protect Information
Within the Firm, we are careful to restrict access to Information to our employees based on their responsibilities and their need to know the Information to assist in servicing or managing your account(s) and responding to any inquiries from you regarding your account(s). We maintain safeguards in keeping with industry standards and practices and changes in technology to protect against anyone gaining unauthorized access to the Information.
We will not share Information with non-affiliated third parties without your specific consent or direction, except as described below. We may disclose Information to non-affiliated third party financial service providers such as our clearing agent. We are careful in selecting these firms, and we require them to maintain controls to protect the confidentiality and security of the Information. We do not permit them to use the Information for any reason other than providing the services necessary for the conduct of our business on your behalf. We do not sell client lists or any Information. Even if you are no longer our client, our Privacy Statement will continue to apply to your Information.
We may also disclose Information to government and law enforcement agencies and officials for tax reporting or pursuant to subpoena, court order or other judicial process, to regulatory agencies for purposes of demonstrating our compliance with the rules and regulations governing our business, to other organizations for fraud protection, to our attorneys, accountants and auditors for audit and other purposes and otherwise to comply with applicable federal, state and local laws, rules and requirements.
Maintaining Accurate Information
We strive to maintain complete and accurate Information about you and your account(s). If you ever believe that our records contain inaccurate or incomplete Information, please let us know immediately. We will correct any inaccuracies as quickly as possible.
We reserve the right to change our Privacy Statement, and notice of any changes will be sent to you promptly. The examples contained within this notice are illustrations and are not intended to be exclusive. This notice complies with Regulation S-P promulgated by the United States Securities and Exchange Commission. You may have additional rights under other laws.