Privacy Policy

Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. 

We strive to provide you with the highest level of service. In that regard, the privacy of the information you provide to us is important and we want to assure you that we are committed to protecting your privacy. This Privacy Statement outlines the types of information we gather about you, how we use it and with whom we might share it. We urge you to read this Privacy Notice so that you will understand our commitment to you and to your privacy.

To provide you with the highest level of service possible, it is necessary for us to collect and maintain certain personal information about you. We collect this information from applications and other forms, from your dealings with us and others and, depending upon the services and products you have requested or for which we have been asked to provide, we may also receive information from reporting agencies and other sources such as our website.

The types of information we collect and maintain may include: 

• Information contained in applications and other forms including, your business name, address, taxpayer identification number, assets and income;

• Information concerning your relationships with us such as products or services purchased from us and related transactions and payment history;

• Information from reporting agencies such as credit relationships and related history; and

• Information from visits to our website such as site visitor ship data, and online data collection devices known as “cookies.”

• Information we receive from agents and service providers.

We use this information in ways that are compatible with the purposes for which we originally requested it.  We may use this information for processing your requests and transactions, offering or furnishing additional products and services or to evaluate your financial needs. We do not share your information with unaffiliated Companies except as provided in this Notice. 

We will only grant access to your information to those employees who have business purpose for accessing such information. In that regard, we have implemented certain physical electronic and procedural safeguards to ensure that access to this information is limited to the appropriate employees.  Moreover, we require our employees to protect your information and keep it confidential.

If you wish to opt out of information we may share with our affiliated companies in the future, please send an email to your Registered Representatives.

To provide you with the appropriate level of service, we may share account and transactional information without our company.  We may also share information described above with firms that assist us in carrying out your needs.  For example, we may share your personal information for specific business purposes with the following companies:

• Issuers of securities private unregistered securities offerings

Be assured that we do not sell information to anyone.  Additionally, we treat the information of our former clients in the same manner as we treat the information of our current clients.

Our goal is to maintain current and accurate information about you in order to properly service your needs. Consequently, we have reasonable access to account information to verify the accuracy of this information. You may either write or call your sales representative to request your account information. If you identify any error in your account information or you would like to update your records, please advise your sales representative.

We also reserve the right to disclose your information in certain circumstances where we feel that disclosure is required by law, to assist law enforcement officials or officials of regulatory agencies, to perform credit checks or collect monies owed to us, and to protect our rights and property.

If you wish to Opt Out of information sharing we may conduct with affiliated companies for marketing purposes, please send a n email to your registered representative and place in the subject line “Opt Out”, or contact using the information that follows.

USA PATRIOT Act and Anti-Money Laundering Program

Important Information about Procedures for Opening a New Account

USA PATRIOT Act of 2001 is designed to detect, deter, and punish terrorists in the United States and abroad and imposes anti-money laundering (“AML”) requirements on brokerage firms and financial institutions. Under the Act’s provisions, all brokerage firms are required to have comprehensive AML programs. As part of our AML program, we may ask you to provide various identification documents or other information prior to effecting any transactions for you.

IMPORTANT INFORMATION YOU NEED TO KNOW ABOUT OPENING A NEW ACCOUNT. To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person or entity that opens an account.  What this means for you: When you open an account, we will ask for your name, address, tax identification number, and other information that will allow us to identify you. The firm may also ask for other identifying documents.

For a corporation, partnership, trust or other legal entity may need to provide information such as its principal place of business, local/office address, taxpayer identification number, certified articles of incorporation, government-issued business license/ a partnership agreement, or a trust agreement and resolutions that name the persons authorized to give us instructions regarding the accounts. Additional information, such as net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance may also be required.

Under certain circumstances, we may become obligated to disclose this information pursuant to applicable laws, rules, or regulations, but the information will otherwise be held in confidence in accordance with our privacy policy.

Effective May 11, 2018, new rules under the Bank Secrecy Act will aid the government in the fight against crimes to evade financial measures designed to combat terrorism and other national security threats.   Each time an account is opened for a covered Legal Entity, we are required to ask you for identifying information (name, address, date of birth, social security number as well as identification documents) for each individual that has beneficial ownership (25% or more) and one individual that has significant managerial control of the Legal Entity.

If you are opening an account on behalf of a Legal Entity, you will be required to provide the appropriate documentation and to certify that this information is true and accurate to the best of your knowledge.   We proudly support all efforts to protect and maintain the security of our customers and our country.

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