1. Ensure the security and confidentiality of Client records and information;
2. Protect against anticipated threats or hazards to the security or integrity of Client records and information; and,
3. Protect against unauthorized access to or use of Client records or information that could result in substantial harm or inconvenience to Clients.
You typically provide personal information when you open an account with us. This information includes financial and tax identification information, to comply with U.S. government laws and rules, as well as rules imposed by regulatory organizations and jurisdictions. We request personal information from new customers as well as from customers who have had long-standing relationships with us. Your advisor must have a reasonable basis for believing that the recommendation is suitable for you. In making this assessment, your advisor must consider your risk tolerance, other security holdings, financial situation (income and net worth), financial needs and investment objectives.
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Our Associated Persons are accountable for protecting confidential Client information in which they have access. We restrict access to your non-public personal information to those persons on a need to know basis. Nonpublic personal information includes all information you provide to obtain a financial product or service. It also includes information resulting from any transaction or information otherwise obtained in providing a financial product or services. Also, we maintain physical, procedural and electronic safeguards to protect the information from access by unauthorized parties.
We are committed to preserving your privacy on the Internet. If you contact us via email, we will use email information only for the specific purpose of responding to requests or comments. We prohibit the sale of email addresses. Only when required by law will we share email addresses and information.
We guard Client information by the use of heightened Internet security risk programs, systems, and monitoring devices. We to protect Client accounts and our IT systems by the use of physical and electronic safeguards established to protect private information from being intercepted over the Internet. We maintain the safety of information transmitted electronically from unauthorized access, by the use of various forms of transmission encryption, firewall obstacles, and authentication procedures (as applicable).
We do not sell lists of Client information. We do not disclose Client information to marketing companies unless we hire them to provide specific services as listed below. We do not disclose any non-public personal information except as provided by law. We will share non-public personal information with our affiliates while processing transactions, managing accounts on your behalf, or to inform you of products or services that we believe would be of interest to you.
These third parties are bound by law or by contract to use your information only for the services for which we hired them and are not permitted to use or share this information for any other purpose.
Your non-public personal information can also be disclosed to persons we believe to be your authorized agent or representative. We are also required to disclose your information to various regulatory agencies to satisfy our regulatory obligations and as otherwise required or permitted by law. Also, we will disclose Client information to third-party litigants when we are required to do so by lawful judicial process or by court order. We can also disclose your confidential information in response to a request from a government authority that has jurisdiction over our affairs.
We do not disclose any non-public personal information about our former Clients to anyone, except as required by law.