Federal law requires us to inform you that we have on record personal information about you and that we obtain such information from you directly (e.g., information you provide to us on account applications and other forms, such as your name, address, social security number, occupation, assets and income) and indirectly (e.g., information on our computer systems about your transactions with us, such as your account balance and account holdings). Any personal information you choose to provide is kept confidential and allows us to: (a) provide better and more complete investment and strategic advice; (b) recommend new services that meet additional needs you may have; and, (c) comply with legal and regulatory requirements. Federal law gives consumers the right to limit some but not all sharing.
In addition, in the normal conduct of our business, it may become necessary for us to share information relating to our clients that we have on record, as described above, with companies not affiliated with us who are under contract to perform services on our behalf. For example, if we contract with companies such as: specialized sub-advisors in the management of your assets or custodians that provide custody of your assets we will be disclosing pertinent and personal information about you. These companies may provide clearing services, and other vendors services directly related to your account relationship with us and will assist us in complying with KYC (Know Your Client), ATF (Anti-Terrorist Funding) and AML (Anti-Money Laundering) statutory requirements which may include the identification and reporting of activities that may involve terrorist acts or money laundering activities. Our agreements with these companies require that they keep your information confidential and not use such information for any unrelated purpose.
We do not sell information about you to third parties, and we do not otherwise disclose information to third parties without your permission or unless required by law.