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."
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
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.