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SpencerWinston.com >PRIVACY POLICY
We at Spencer Winston Securities are sensitive to the necessity of protecting your personal and financial information. As a member of FINRA, we are required to collect personal information relating to you, your account and your investment characteristics. This information is known as "non-public personal information." We collect this information from various sources, primary applications and forms completed by you for us and from third-party providers. We use this information to provide you and your account with the highest level of professional service.
Spencer Winston Securities understands your concerns about the use and protection of this personal account information.
We at Spencer Winston Securities are committed to maintaining the highest level of safety and security for information you provide. Towards this goal, pleas note:
We are dedicated to protecting your personal account information.
We will use this information to service your account and provide information about services or products you have requested, or which you may find of interest.
We will not sell or distribute your information to any unaffiliated third parties; however, we may share certain information you provide in the same way as information is routinely shared in the conduct of standard brokerage accounts; for example, we may provide information in concert with regulatory requirements of certain agencies, such as the internal revenue service, FINRA and other organizations to which we are responsible, or with which we are, or may become, affiliated; we may also provide information to other institutions, who may, or may not be affiliated or under common control with us, if such information is required to service your account (for example, we provide information to our clearing firm to allow them to appropriately service your account. You will receive a separate privacy notice form that firm), or if we feel that they may be situated to offer you products or services that you may find of interest.
We will continue to observe these privacy guidelines for your information even if you arte no longer a client.
We provide you with this notice when you open your account and we will provide annual notification thereafter.
Should we determine to change any of our policies pertaining to privacy, we will provide advanced notice and give you the opportunity to "opt-out" of such disclosures. For more information visit FINRA's website at www.finra.org.


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