Pursuant to Federal regulations, we are providing this Privacy Notice to all of the individual clients of our brokerage firm and its affiliated entities. Further, the USA PATRIOT Act, which imposes Anti-Money Laundering Requirements on brokerage firms and financial institutions, requires that we ask you to provide us with various identification documents or other. In addition, we may make inquiries of other organizations for information about you in order to fulfill our responsibilities under Federal regulations.
The Information We Collect About You
The non-public personal information we collect about you (your “information”) comes primarily from the account applications or other forms you submit to us. We may also collect information about your transactions and experiences with us or our affiliates relating to the products or services we provide. In addition, depending upon the products or services you require, we may obtain information from consumer reporting agencies.
Our Disclosure Policies
We do not disclose your information to anyone, except as permitted by law, as necessary to perform such services in connection with your account. This may include sharing your information with non-affiliated companies that perform support services for your account or process your transactions with us. Additionally, it may include disclosing your information pursuant to your express consent, to fulfill your instructions, or to comply with applicable laws and regulations.
Our Information Security Policies