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Date: March 1, 2006
At VanthedgePoint Securities LLC, we are committed to safeguarding client information. Since your privacy is a
priority to us, neither VanthedgePoint Securities LLC nor its affiliates will share nonpublic information about you
with third parties without your consent, except as explained in our Privacy Policy. We carefully manage client
information within VanthedgePoint Securities LLC in order to give you better service, greater convenience, and
additional benefits consistent with the nature of your overall business with VanthedgePoint Securities LLC.
Our relationship with you is our most important asset. We understand that you have entrusted us with sensitive
financial information, and we do everything we can to maintain that trust.
The VanthedgePoint Securities LLC Privacy Policy applies to current or former VanthedgePoint Securities LLC
brokerage clients. Throughout the Policy, we refer to information that individually identifies you or your accounts
as “personal information.”
How We Gather Information
As part of providing you with financial products or services, we may obtain information about you from the
following sources:
- Applications, forms, and other information that you provide to us, whether in writing, in
person, by telephone, electronically, or by any other means. This information may include
your name, address, employment information, income, and credit references.
- Your transactions with us, or others. This information may include your account balances,
payment history, and account usage.
- Consumer reporting agencies. This information may include account information and
information about your creditworthiness.
- Public sources. This information may include real estate records and telephone numbers.
Sharing information within VanthedgePoint Securities LLC
We take steps to safeguard client information. We restrict access to the personal and account information of our
customers to those employees who need to know that information in the course of their job responsibilities. We
maintain physical, electronic, and procedural safeguards that comply with federal standards to protect client
information.
Sharing information with companies that work for us
We may share client information with unaffiliated third parties who perform services for VanthedgePoint
Securities LLC or in connection with servicing or processing of the products and services that you’ve requested
or already have. We share information with such companies to support your experience of and relationship with
VanthedgePoint Securities LLC. These companies may include other financial service providers such as payment
processing centers, as well as companies such as check printing and data processing companies. These
companies might assist us in a number of ways: for example, in fulfilling your service requests, or processing
your transactions, or mailing your account statements. We may also share your information with companies we
have hired to provide marketing and other services on our behalf, or with other financial institutions with whom
we have joint marketing agreements. All of these companies are contractually obligated to keep the information
that we provide to them confidential, and use the information only for the purposes of providing the services
we’ve asked them to perform for us or for you.
Disclosing information in other situations
We may also disclose client information we maintain about you to credit bureaus and similar organizations, when
permitted by law. Such shared information may include a disclosure in connection with a subpoena or similar legal
process, a fraud investigation, an audit or examination.
Making sure information is accurate
We continue to evaluate our efforts to protect personal information and make every effort to keep your personal
information accurate and up-to-date. If you identify any inaccuracy in your personal information, or you need to
make a change to that information, please contact us so we that we may promptly update our records.
Our former customers
Even if you are no longer a customer of VanthedgePoint Securities LLC, our Privacy Policy will continue to
apply to you.
Option to opt out and change notices
If for any reason at any time in the future, we find it necessary to disclose any of your personal information in a
way that is inconsistent with our Privacy Policy, we will give you advance notice of the proposed change as well
as the opportunity to opt out of such disclosure.
Keeping up-to-date with our privacy policy
We will provide notice of our Privacy Policy annually, as long as you maintain an account with us. Our Privacy
Policy is also available via a link on our website at www.vanthedgepoint.com. VanthedgePoint Securities LLC
reserves the right to make changes to this policy. |
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