We do not disclose any nonpublic personal information about our customers or former customers to anyone, except as permitted by law. For example, we disclose information, as permitted by law, to nonaffiliated companies that work for us in providing financial services to you (e.g., attorneys, auditors, clearing firms, and consultants). These companies are required to provide contractual assurances that confidentiality will be maintained.
In addition, we disclose information, as permitted or required by law, to government and regulatory agencies such as the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). We will make disclosures to comply with a legal summons, court order, subpoena or similar legal process, a fraud investigation, audit, or examination. Finally, we are permitted to disclose information if you have provided your consent.
Confidentiality and Security Procedures:
We limit access to nonpublic personal information about you to those employees who need to know such information to provide services to you. We maintain physical, electronic, and procedural safeguards that comply with federal regulations to guard your nonpublic personal information.