Privacy Policy and Anti-Money Laundering Program Privacy Policy
 

We are extremely committed to safeguarding your right to privacy and security with regards to personal and financial information.

Information Security
We maintain physical, electronic, and procedural safeguards to guard your nonpublic personal information. We limit access to your personal and account information to those of our employees and service providers who need to know that information to provide and administer the products or services that we offer. This access enables them to assist you in completing transactions, offer you additional financial services, and resolve any customer services issues that may arise.

Even if you never open an account, close your account(s) or become an inactive customer, we will adhere to the privacy policy and practices as described in this Privacy Notice.

Information We Collect
The non-public personal information we collect about you (your "Information") comes primarily from the account applications or other forms you submit to us. We may also collect information about you from our service providers about your transactions and experiences relating to the products and services we provide, or from government or third party providers such as credit bureaus to verify your identity and to comply with NASD, SEC regulations and Federal and State laws.

This nonpublic information may be shared with authorized users, including both affiliated and nonaffiliated third parties, under strict guidelines to safeguard your privacy and in order to provide you with the services and financial choices that are most likely to be of value to you. These sharing policies and practices are described below:

 
1) Affiliates:    
    We may share any of the information we receive from you or about your transactions with our affiliates. Our affiliates include:  
  A) Our various administrative and service centers that need to use customer information as part of their data processing requirements to open and service your accounts.  
  B) Any company that controls, is controlled by, or is under common control with us.  
2) Nonaffiliated Third Parties:    
  A) To Fulfill Instructions and Comply With Laws and Regulations
We may share all the information we collect from you or about you with certain nonaffiliated third parties. For example, it may include disclosing your information to comply with applicable laws and regulations, or pursuant to your express consent.
   
  B) To Maintain Or Service Your Account
We may also share your information in connection with processing or servicing transactions authorized by you or necessary to maintain or service your account. For example, we may share all your information with our clearing agent, mutual fund companies, or other financial institutions for them to open, maintain or service your account. We may also share limited information such as your name, address, email, and investor grouping to third parties to perform services or functions on our behalf for example to perform mail-processing services such as mailing out newsletters, or notices concerning your account or relationship with us.
   
 
Anti-Money Laundering Program
The USA PATRIOT Act is designed to detect, deter, and punish terrorists in the United States and abroad. The Act imposes new anti-money laundering requirements on brokerage firms and financial institutions. All brokerage firms are required to have comprehensive anti-money laundering programs.

To implement the USA PATRIOT Act we designate a compliance officer to oversee the program, set up employee training, conduct independent audits, and establish policies and procedures to detect and report suspicious transactions and ensure compliance with the new laws. As part of our required program, we may ask you to provide various identification documents or other information to open an account or effect any transactions for you. In addition to the information we must collect under regulatory rules of the NASD and the SEC we will take reasonable steps to verify the identity of anyone seeking to open an account, and check that a customer does not appear on government terrorist lists.

If you have any questions the above please contact us at 800-655-5795.

Public Disclosure Program Notice
NASD Regulation, Inc.,
NASD Regulation Web Site Address: http://www.nasdr.com
Public Disclosure Hotline: (800) 289-9999


 
 
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Royal Capital Advisors is an independent firm offering securities through Liberty Partners Financial Services, LLC.
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