We may collect certain personal identifying information about you (such as your name, address, social security number, etc.) from information that you provide on applications or other forms as well as communications (electronic, telephone, written or in person) with you or your authorized representatives (such as your attorney, accountant, etc.). We also may collect information about your accounts and transactions (such as purchases, sales, account balances, inquiries, etc.).
We do not disclose the personal information we collect to anyone except: (i) in furtherance of our business relationship with the person from whom we have collected personal information and then only to those persons necessary to effect the transactions and provide the authorized services (such as broker-dealers, custodians, independent managers etc.); (ii) to persons assessing our compliance with industry standards (e.g., professional licensing authorities, etc.); (iii) our attorneys, accountants, and auditors; or (iv) as otherwise provided by law.
We restrict access to the information we collect to those employees who need to know that information to service your account. We maintain physical, electronic and procedural safeguards that comply with applicable federal or state standards.
Our policy about obtaining and disclosing information may change from time to time. We will provide notice of any material change to this policy before we implement the change.
If you have any questions or concerns regarding this notice, please contact us.