R.J. O’Brien & Associates, LLC and its affiliates (collectively, “R.J. O’Brien” or we or us) and your Introducing Broker CommStock Investments, who has adopted this policy, believe in respecting the privacy and security of your personal information.
We do not disclose any nonpublic personal information about our customers or former customers to anyone, except as permitted by law.
Collection of Information
We may collect personally identifiable information (“PII”) about you from the following sources:
PII includes any information by which you can be personally identified, and may include your name, address, age, date of birth, electronic mail address, occupation, employment information, telephone number, education, the kind of service provided to you, credit card number, and other similar information.
Use and Disclosure of Your Information
We may use and/or share your PII for the following reasons:
Confidentiality and Security
We restrict access to your PII to those employees who need to know that information to provide products or services to you. We maintain physical, electronic and procedural safeguards to guard your PII. However, due to the design of the Internet, we cannot guarantee that communications between you and our servers will be free from unauthorized access by third parties.
USA PATRIOT ACT
NOTICE TO CUSTOMERS
To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.
What this means for you: When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you.