What types of non-public personal information about me does the Company collect?
The Company collects the following types of information:
What types of non-public personal information about me does the Company disclose?
The Company discloses the non-public personal information about you described above, primarily to provide you with the financial products or services you seek from or through us.
To what employees of the Company is my non-public personal information disclosed?
The Company discloses non-public personal information about you only to its employees who need to know that information in connection with the servicing or processing of financial products or services requested by you or as required by law.
To what other firms is my non-public personal information disclosed?
The Company discloses non-public personal information about you to nonaffiliated third parties who the Company utilizes in connection with the servicing or processing of financial products or services requested by you. For example, the Company may provide information to its legal counsel. Any such recipients acting on the Company’s behalf are required to keep your personal information confidential. The Company also discloses non-public personal information to nonaffiliated third parties as permitted or required by law. These parties include government/regulatory organizations such as the Internal Revenue Service and the Securities and Exchange Commission. Disclosures for which you have provided your consent are also permitted.
The Company does not disclose non-public personal information about former customers, except as required by law.
The Company may disclose information, as permitted by law, with our affiliated companies. By sharing information about you with our affiliated companies, the Company can offer you a broader range of financial services, improve your experience with us and serve you more efficiently.
The Company does not sell your non-public personal information.
How does the Company protect the confidentiality and security of my non-public personal information?
The Company maintains physical, electronic, and procedural safeguards to guard your non-public personal information. Access to your non-public personal information is limited to those employees who need to know that information to provide products or services to you. The Company conducts internal audits of its business practices and procedures in order to protect your personal information.
FINRA Broker Check Hotline Number–(800) 289-9999; FINRA Broker Check is available at www.finra.org/Investors/ToolsCalculators/BrokerCheck