We collect information about you to help us and our clearing agent perform our duties as a Broker/Dealer and to fulfill applicable legal and regulatory requirements. The type of information we gather may include the following:
- Information we receive from you either verbally or in writing, electronically or otherwise, on account opening applications, or other forms such as your name, address, Social Security number, employment, marital status, income, and liquid asset value.
- Information about your transactions with us or others, such as your account balances, payment history, account usage, and co-parties to transactions.
- Information that we receive from a consumer reporting agency, such as your credit history; and information from other public sources, such as real estate records.
Currently we do not share any non-public, personal information about you with unaffiliated 3rd parties with whom we have no contractual business relationship for their independent use unless: (1) you give us written permission; (2) it is necessary to process your account application or service your account(s) or otherwise complete a transaction on your behalf; (3) it is necessary to protect against fraud or other wrongful taking of property or to comply with a subpoena or other court order; or (4) it is otherwise required or permitted by law or regulation. However, we do provide information to our clearing agent who has adopted similar privacy policies, government or regulatory agencies, and certain service providers. These companies and agencies are not permitted to use or share this information for any other purpose, and will maintain such information as confidential.
We do not disclose or sell any non-public, personal information about you to any outside unaffiliated company, except as permitted by law or as needed to service your account. If you sign and return the bottom of this page to the address below, we will not release the above information to companies in which you hold securities. Furthermore, we restrict access to your personal and account information to those employees who need to know that information to provide products or services to you and maintain strict physical, electronic and procedural safeguards that comply with applicable standards to guard your non-public information. If you decide to close your account(s) or if you become an inactive customer, privacy policies and practices described in this notice will continue to apply to you.
We reserve the right to change these privacy policies at any time, and we will notify you in writing accordingly.
You have the right to request that your personal information not be disclosed to 3rd parties. To do so, please sign and return this form. Please note your account number and print your account registration and name clearly.