All trade or order instructions must be taken verbally.
Why We Collect and How We Use Information: We collect and use information for business purposes with respect to our business relationship involving you. These business purposes include evaluating a request for products or services, administering our products and services, and processing transactions requested by you. We may also use information to offer you other products or services we provide.
How We Collect Information: We get most of our information directly from you. The information that you give us when applying for our products and services generally provides the information that we need. If we need to verify information or need additional information, we may obtain information from third parties. Information collected may relate to your finances, employment, avocations, or other personal characteristics as well as transactions with us or with others.
How We Protect Information: We treat information in a confidential manner. Our employees are required to protect the confidentiality of information. These employees may access information only when there is an appropriate reason to do so, such as to administer or offer our products or services. We also maintain physical, electronic and procedural safe guards to protect information. Employees are required to comply with our established policies.
Information Disclosure: We may disclose any information when we believe it is necessary for the conduct of our business, or where disclosure is required by law. For example, information may be disclosed to others to enable them to provide business services such as performing general administrative activities for us and assisting us in processing a transaction requested by you. Information may also be shared with our affiliates or associates so that they may offer you their products and/or services. We may also provide information (i)to certain non-affiliates, such as marketing companies, to assist us in offering our products and services to you and (ii)to non-affiliated financial service companies with which we have a joint marketing agreement, for example an agreement with another Registered Representative to enable us to offer you specific products or services. We may make other disclosures of information permitted by law.
Access to and Correction of Information: Generally, we will make Information available for your review. Any Information collected with, or in anticipation of, any claim or legal proceeding will not be made available. If you notify us that the Information is incorrect, we will review it. If we agree, we will correct our records. If we do not agree, you may submit a short statement of dispute, which we will include in any future disclosure of information.