Cadaret, Grant & Co., Inc., our independent broker/dealer, respects the privacy of any nonpublic, personal information that clients provide in order for us to open and service their accounts. They are committed to safeguarding that information by holding it in the strictest confidence. We gather only the information that is necessary for us to effect, administer, or enforce a transaction that a client authorizes or requests. Such information may include health and financial information that has been gathered from account applications and other forms needed to service accounts.
To further protect our clients' privacy, we have policies in place to restrict employee access to personal information. We may disclose personal information to other financial institutions for the sole purpose of effecting a transaction requested or authorized by a client; or to service a product or provide a service that a client has requested or authorized. It has been the policy of Cadaret, Grant not to disclose nonpublic, personal information to nonaffiliated third parties, except as permitted by law, and we do not anticipate doing so in the future. If we change this policy in the future, you will be notified prior to the implementation of the new policy.
At times, federal and state regulators also may review firm records as permitted by law. We do not provide nonpublic, personal information to mailing list vendors or solicitors under any circumstances. Any information gathered will be maintained during the time you are a client, and for the required time thereafter that such records are required to be maintained by federal and state securities laws.
Here is our Privacy Policy required by the Gramm-Leach-Bliley Act of
1999.
