How do we protect the confidentiality and security of your information?
We maintain physical, electronic and procedural safeguards to guard your personal information. We also restrict access to your personal financial information within our organization to those employees who need to know that information to provide products or services to you, or to conduct our business. Employees who have access to customer information may use it only for legitimate business purposes. Additionally, we use security and encryption methods to help us identify and prevent breaches and unauthorized disclosure of your personal financial information.
What personal financial information do we collect from and about you?
– Information we receive from you on applications or other forms, such as your name, address, beneficiaries, Social Security number, family member information, assets, income, and property locations and values.
– Information about your transactions with us or others, such as securities bought and sold, your account balance, and other financial information.
– Information we receive from consumer reporting agencies and other sources, such as your creditworthiness, medical and employment information.
What personal financial information do we disclose to nonaffiliated third parties about you?
We may share your personal financial information with nonaffiliated financial institutions, such as securities broker-dealers, transfer agents and banks, that provide transaction processing, account maintenance and related services, to the extent permitted by law, or to other entities as permitted or required by law for legal, regulatory or other purposes.
Do we share personal financial information with nonaffiliated third parties (other than nonaffiliated companies providing processing, account maintenance and related services, or other nonaffiliates under certain legal exceptions)?
We do not share your personal financial information with such parties.
What information do we disclose about former clients and to whom?
We may disclose some or all of a former client’s personal financial information to government agencies and self-regulatory organizations when permitted or required by law, such as when required to file abandoned property reports and to comply with subpoenas and other official governmental requests.