FIG Partners understands that confidentiality of your personal nonpublic client information is critical to you and we take the responsibility to protect your personal information very seriously. It is our policy that we do not sell or offer nonpublic personal information to anyone. Furthermore, we will share your personal client information with others only as stated in this notice.
Information we gather:
FIG will collect only that information that is necessary to conduct our business or that is required by law and regulation. Information taken from each client includes: names, addresses, phone numbers, social security numbers, investment objectives, financial information such as income, tax bracket, investment history, net worth, assets, employer, number of dependents, etc. Information is derived from various account forms, gain/loss records, prior statements, customer identification procedures, consumer reports, etc.
How we protect you:
FIG provides physical and electronic password protected safeguards to ensure confidentiality of your personal information. We restrict access to your information to employees and representatives that have a need to know in order to service your account.
Our written policies and employee training clearly identify steps to be taken to protect your personal information.
With whom information is shared:
The primary third party who will receive information from us is our clearing firm. It is important to know that our clearing firm is obligated under Regulation S-P to keep your information confidential.
We will also disclose non-public personal information to securities regulators upon request; to other persons pursuant to subpoenas; or as otherwise required by law.
We often get requests from our customers to provide personal information to accountants, lawyers, etc. This information will be provided only upon your request.
If you close your account:
In case of a breach in security:
If your personal information has been compromised and there is any risk of misuse, you will be notified by our firm’s compliance department.