Regulatory Information
Privacy PolicyAs a securities firm, we take privacy seriously. We collect and use “nonpublic personal information” from our clients to help us determine suitability for certain investments, as a tool in obtaining investment objectives and to satisfy the requirements of various regulatory agencies that govern our securities firm. We do not disclose nonpublic personal information to non-exempt third parties. We may also collect non-public personal information about our clients from data we receive from non-affiliated third parties, including consumer and industry reporting agencies. We maintain physical and electronic safeguards to protect nonpublic information. If you have questions regarding our privacy policy, please contact our office.
Business Continuity PlanOur firm has made plans for dealing with various emergencies which may interrupt our ability to serve our clients. These emergencies include not only local fire, flood or power outage, but also a local or national disaster affecting the nation’s economy and financial markets. Our main goal, if such an emergency should occur, would be to provide our clients with ready access to their funds and securities held with our firm. In a most expeditious way, we would make every effort to resume normal operations. Time required to recover would be dependent upon the severity of the emergency. Critical information concerning our firm and our clients accounts are duplicated in multiple locations to facilitate speedy recovery of service.
FINRA (www.finra.org)
SIPC (www.sipc.org 1-202-371-8300)