303.831.9696 / 800.757.0755  |  Disclaimer  |  Privacy Policy

 
 
 
 

PRIVACY POLICY

This notice complies with Title V of the Gramm-Leach-Bliley Act of 1999 (GLBA) and the SEC Regulation S-P, "Privacy of Consumer Information."

Wm Smith & Co ("Wm Smith" or the "Company") is committed to maintaining the privacy, confidentiality and security of it clients’ nonpublic personal information. As a result, Wm Smith has adopted the Privacy Policy concerning information that you provide and information that is obtained in servicing your account. We will not share nonpublic information about you with third parties outside of your investment advisor without your consent, except for the specific purposes described below. This notice describes the information we may gather and the circumstances under which we may share it.

Information Collected

Nonpublic personal information is collected and retained by Wm Smith in order to provide superior service to you and your investment advisor. These services may include maintaining your account, processing transactions and administering our business.

We obtain information directly from your investment advisor or broker when you apply for access and use financial products and services offered by your investment advisor or broker and its business partners. This may be in person, by telephone or electronically. We may verify this information or get additional information from consumer reporting agencies or public sources. This information may relate to your finances, employment, avocations or other personal characteristics, as well as transactions and interactions with or through your investment advisor, others or us.

Protection of Information

Our employees are required to protect the confidentiality of information and to comply with our established policies. They may access information only when there is an appropriate reason to do so, such as administer our products and services. We also maintain physical, electronic and procedural safeguards to protect information, which comply with all applicable laws. Employees who violate our Privacy Policy are subject to a disciplinary process.

Disclosure of Information

We may disclose any information to or as directed by your investment advisor or broker or when we believe it is necessary for the conduct of our business or where disclosure is required by law, rule or regulation, or subpoena or order issued by a court of competent jurisdiction or by a judicial, administrative or legislative body. We disclose information to our clearing broker—Pershing, LLC.

Former Customers

Even if you are no longer a customer of Wm Smith, our Privacy Policy will continue to apply to you.

Further Information

We reserve the right to change this Privacy Policy. The examples in the Privacy Policy are used as illustrations only, and they are not intended to be exclusive.
 
   
 
This website is not intended as a solicitation for the purpose or sale of any security.  It is provided for informational purposes only.  Please read our Disclaimer and Privacy Policy.