Overview

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Siebert Williams Shank & Co., LLC (“SWS”) is committed to maintaining the trust and confidence of our clients and customers. The following is provided for information purposes. We want you to understand how we protect your privacy when we collect and use personal information in the course of business, as well as the measures we take to safeguard your information. Keeping customer information secure and private is a priority at SWS.

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SWS has established the following guidelines to comply with the Gramm Leach Bliley Act (“Act”). Our policy regarding customer privacy and the use of non-public personal information applies to both current and former customers, and is designed to comply with the privacy provisions in Title V of the Act, as well as applicable federal privacy regulations.

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Please take a moment to review our Privacy Policy and contact us with any questions you may have.

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Collecting Non-public Personal Information

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While providing service to you, we may collect non-public personal information from sources including, but limited to, the following:

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• Account Applications and other standard forms which might include information such as name, address, tax identification number, asset types and amounts of investments, transactions and income;

• Information we receive as a result of the transactions that you undertake with us; and

• Information about your transactions we receive from our clearing firm and/or any consumer reporting agency.
   

Protecting the Confidentiality and Security of Non-Public Personal Information

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Pursuant to Regulation S-P, SWS has developed, implemented, and maintains written policies and procedures that address administrative, technical, and physical safeguards for the protection of customer information.

 

These written policies and procedures are reasonably designed to:

(i) Ensure the security and confidentiality of customer information;

(ii) Protect against any anticipated threats or hazards to the security or integrity of customer information; and

(iii) Protect against unauthorized access to or use of customer information that could result in substantial harm or inconvenience to any customer.

 

Unless SWS has determined, after a reasonable investigation of the facts and circumstances of the incident of unauthorized access to or use of sensitive customer information that occurred at SWS or one of its service providers that is not itself a covered institution, that sensitive customer information has not been, and is not reasonably likely to be, used in a manner that would result in substantial harm or inconvenience, SWS must provide a clear and conspicuous notice, or ensure that such notice is provided, to each affected individual whose sensitive customer information was, or is reasonably likely to have been, accessed or used without authorization. The notice must be transmitted by a means designed to ensure that each affected individual can reasonably be expected to receive actual notice in writing.

 

If an incident of unauthorized access to or use of customer information has occurred or is reasonably likely to have occurred, but SWS is unable to identify which specific individuals' sensitive customer information has been accessed or used without authorization, SWS must provide notice to all individuals whose sensitive customer information resides in the customer information system that was, or was reasonably likely to have been, accessed or used without authorization.

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Barring exceptional circumstances, SWS must provide the notice as soon as practicable, but not later than 30 days, after becoming aware that unauthorized access to or use of customer information has occurred or is reasonably likely to have occurred.

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Disclosing Non-public Personal Information to Non-affiliated Third Parties

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It is SWS’s policy not to sell, share, or disclose information or records regarding current or former customers with non-affiliated third-party marketing companies or others, except as permitted or required by law, as necessary to process transactions on your behalf, to conduct our operations, to follow your instructions as authorized, to protect the security of our financial records, and to comply with requests during regulatory reviews and examinations.

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SWS reserves the right to change this policy at any time. If you have any questions regarding our Privacy Policy, please contact dataprivacy@siebertwilliams.com.

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This Privacy Policy applies to customers and former customers of the SWS. If you are resident of California, please refer to our California Consumer Data Privacy Act Disclosure.

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Siebert Williams Shank & Co., LLC will never share/trade/sell personal information, phone numbers and sms consent to 3rd parties under any circumstances.