Information about you is collected in the normal course of business for purposes of providing services to you. This information is not collected for resale. We provide information to unaffiliated third parties that is necessary for us to provide services to you. The information that is collected, the source of the information and the parties to which the information is provided are explained below.
Categories of Non-public Information We Collect In the Normal Course of Business:
Categories of Non-public Information That is Disclosed:
We do not disclose any non-public personal information about our clients or former clients to anyone, except as required or permitted by law.
Examples of such disclosures include:
Our Policies Protecting the Confidentiality of Information About You
We restrict access to non-public personal information about you to those employees and non-affiliated third parties who need to know that information so as to enable us to provide products and services to you.
Such employees include your account executive, personnel in the trading department who effect or route your transactions, operations personnel who prepare and reconcile records of your transactions and your security and money positions, and management and compliance personnel who oversee our business.
Non-affiliated third parties include our clearing firm or others that:
We maintain physical, electronic and procedural safeguards to guard against persons not authorized by us from having access to your non-public personal information.
Internally, we maintain all written records in secured locations that are accessible only to authorized personnel. Account executives are provided with transaction records of accounts that they have responsibility for servicing. Electronic records are maintained on secure computers that are password protected. Employees undergo background checks as a condition of employment.
We appreciate being able to provide our services to you and will continue to do so while maintaining the confidentiality of the information needed to provide such services. If you have any questions concerning this notice, please call Andrea Kidd at (303) 694-0862.