At Center Street Securities, Inc., your trust is our top priority. The confidentiality of your personal financial information is of paramount importance to all of us, and we will remain vigilant in protecting your privacy. We are sending you this privacy notice to help you understand how we use your private financial information, and to let you know what we do to help protect your privacy.
What Information Do We Collect From You and About You?
To serve your needs, Center Street Securities, Inc., collects information from you and about you. Some of this information is collected to satisfy certain legal and regulatory requirements, while other information is collected so that we can service your account effectively. Examples of the information that we collect includes:
• Information from your account application and other forms, such as name, address, Social Security number, telephone number, employment information, income, net worth, investment experience, and other information to service your account effectively.
We may also collect information from consumer reporting agencies.
• Information provided by you when you visit us in person, over the telephone, through the mail or via e-mail.
• Information about your financial transactions, including securities purchased and sold, fund transfers, account balances, and other account activities.
To Whom Do We Disclose Your Information?
Center Street Securities, Inc. does not sell your personal financial information to anyone. However, we do disclose your personal information to third parties or outside companies that help us process your transactions or service your account. One such company is the clearing firm, which processes your transactions and acts as the account custodian. Other companies to whom we may disclose your personal information include outside investment advisors or asset managers, variable annuity or insurance companies, mutual fund companies or the like.We may also provide information to outside service providers that print and mail your account statements. Any outside company or third party provider must limit their use of your information to the purpose for which it was provided. Center Street Securities, Inc. may also provide your personal information when permitted or required by law or regulation. Examples include providing information in response to a subpoena or court order, to cooperate with regulators, governmental authorities or law enforcement authorities, or in response to a request from a consumer reporting agency. Outside of these circumstances, we will not provide your personal information to third parties unless you have specifically asked us to do so.
What Do We Do To Protect Your Personal Information?
Securities Investor Protection Corporation (SIPC)
Customers may obtain information about the Securities Investor Protection Corporation (“SIPC”), including the SIPC Brochure, by contacting SIPC via its website at www.sipc.org or by telephone at (202) 371-8300.
Financial Industry Regulatory Authority (FINRA) Public Disclosure
In accordance with the Financial Industry Regulatory Authority (FINRA) Investor Education and Protection Rule, we are providing the following information: 1) The FINRA Public Disclosure Hotline telephone number is (800) 289-9999, and 2.) the FINRA website address is www.finra.org. A copy of an investor brochure than includes information concerning the FINRA Public Disclosure Program can be obtained by calling the Public Disclosure Hotline or visiting the FINRA website.
The USA Patriot Act requires broker-dealers such as Center Street Securities, Inc. to collect certain identification information from all customers and verify their identities.