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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At SWS, we restrict access to any personal and/or account information to those employees who require the information to deliver the products and services you request. Accordingly, we maintain physical, electronic and procedural safeguards to protect non-public customer information.

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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.