Privacy Policy

 

PRIVACY POLICY

Security

 

The Firm considers the protection of sensitive information to be a sound business practice and a foundation of customer trust. 

 

We protect personal information that we collect from and about customers by maintaining physical, electronic and procedural safeguards that meet or exceed applicable legal and regulatory requirements.

 

Information Sharing

 

The Firm does not share non-public customer information about current or former customers, as defined by regulation S-P, with any third party other than service providers.  Non-public customer information is only shared with service providers pursuant to an agreement approved by the General Securities Principal or a designee.

 

Information about current or former customers is shared only with service providers in connection with servicing or processing a financial product or service requested or authorized by the customer.

 

Access to Non-public Information

 

Access to customer accounts and customer information is restricted to Registered Representatives who need to know that information in order to provide products or services to that customer.

Initial Notices

 

The Firm ensures that each consumer and new customer, as defined by regulation S-P, is provided with an initial privacy notice upon, or prior to, establishment of the relationship.

 

Consumers and new customers, as defined by regulation S-P, are typically provided with an initial privacy notice along with the required new account form.

Annual Notices

 

The Firm ensures that each customer, as defined by regulation S-P, is provided with an annual privacy notice.  Customers are typically provided with an annual notice sent to each customer’s last known address.