We value our clients and take their privacy seriously. We are committed to maintaining the confidentiality, integrity, and security of our clients’ confidential information. When you provide confidential information, please be aware of our policies to protect the confidentiality of that information. We will inform you of our policies for collecting, using, securing, and sharing non-public confidential information the first time we do business and every year that you are our customer.
We collect and use information that is necessary to establish your account, process your transactions, advise you about our products and services, and provide you with full customer service. We may collect and maintain several types of information needed for these purposes from the following sources:
– Information we receive from you on applications or other forms.
– Information about your transactions with our affiliates, others, or us.
It is our policy to assure that the information we have about our customers is accurate. That information is highly confidential and is only made available to persons who have a need for the information to properly service a client’s account, act upon a client’s request or to fulfill that person’s job responsibility within our company. We restrict access to non-public personal information about our clients to those employees with a legitimate business need for the information. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your non-public personal information.
There are two types of information sharing–information sharing with our affiliates and information sharing outside of CRI Capital Advisors. We do not sell client information. We do not provide client information or account numbers to persons or organizations outside CRI Capital Advisors who are doing business on our behalf for their own marketing purposes
We are permitted by law to share non-public information about you with third parties for the following purposes:
– To complete a transaction.
– To produce a consolidated or non-consolidated account statement.
– To service your account.
– To cooperate with regulators or law enforcement authorities.
– To resolve client disputes.
In order to perform our responsibilities as listed above, we may be required to disclose to third parties the following kinds of non-public personal information about you:
– Information we receive from you on applications and other forms, such as your name, address, social security number, assets, net worth, income and tax status.
– Information about your transactions with our affiliates, others, or us such as your account size, payment history, parties to transactions, and trading frequency.
Information we share about you may be disclosed to our affiliates or companies we hire to provide support services. We may be required to disclose your non-public personal information to regulators, subject or subpoena, or law enforcement authorities.
Companies we engage to provide support services are required to protect, keep confidential and to restrict the use of your non-public confidential information. We do not disclose customer account numbers to any third parties for use in telemarketing, direct mail marketing, or other marketing through electronic mail to the consumer.
We may disclose non-public personal information about our former clients to the same extent as for our current clients.
The law permits us to share your identifying information and information about your transactions with non-affiliated third parties for the purposes described above. We do not share your information with non-affiliated third parties for any other reasons. Therefore, we are not providing an opt-out provision for information shared with non-affiliated third parties.
The law permits us to share your identifying information and information about your transactions with our affiliated parties. Unless you tell us contrary, we may share other information with our affiliates, including information we receive from you on applications and other forms, or information we receive from a consumer reporting agency. If you prefer that we not share these kinds of information with our affiliates, you may direct us not to share this information by calling us at the following number: (334) 386-5240.