Our Commitment To You
At ETC Brokerage Services, protecting your privacy and the confidentiality of your personal information is important to us. We value your business and the trust you put in us, and to offer you the financial products and services you seek, we collect, maintain and use certain information about you. To help you better understand how your personal information is protected by ETC Brokerage Services, we are providing you with the following statement describing our policies and procedures with respect to the privacy of your customer information. In the event you terminate your customer relationship with us, or become an inactive customer, we will continue to adhere to the policies and procedures described in this notice. This notice applies only to nonpublic personal information about individuals who obtain financial products or services primarily for personal, family or household purposes.
ETC Brokerage Services restricts access to your personal and account information to those employees and affiliates who need to know such information to provide products, education materials, or services to you and we educate our employees about the importance of confidentiality and customer privacy. For example, ETC Brokerage Services may provide such information to its affiliate Equity Trust Company, which provides custodial services for self-directed IRA and Custodial accounts. We maintain physical, electronic and procedural safeguards to guard your nonpublic personal information. We do not sell any of your personal or account information to any third party affiliates or non-affiliates and we will not do so, however we may provide such information to any successor custodian/trustee for your account. As such, we reserve the right to transfer such information in connection with a sale of our business, whether by sale of assets, or a merger, consolidation or other similar transaction, or a reorganization or liquidation of our business whether or not in connection with a filing for bankruptcy under applicable law.
Information We Collect About You
As your trusted financial institution, we collect, retain and use nonpublic personal information about individual current and former customers to provide products and services. We may collect the following categories of nonpublic personal information about you:
• Information we receive from you, through applications and forms in connection with our products or services; and
• Information about your transactions with us, our affiliates or with nonaffiliated third parties.
You typically provide this personal information when you complete a ETC Brokerage Services account access form. This information may include, but is not limited to, your name, address, social security number, investment experience, relationship with broker/dealers, risk tolerance, financial references, investment objective, tax bracket, net worth, annual income and occupational/educational background.
Information We Share
ETC Brokerage Services does not disclose nonpublic personal information about you to any unaffiliated third parties, unless required by applicable law. However, since publicly-held securities transactions are effected through a correspondent clearing firm, we do provide certain account information (such as your name, social security number, address, date of birth, and telephone number; and under limited circumstances, net worth, annual income, tax bracket, investment objectives and risk tolerances) and transaction activity to our clearing firm to effect and administer your transaction requests. In addition, certain account information (such as your name, address, account activity and positions) is provided to an unaffiliated service provider with whom ETC Brokerage Services has contracted to print and mail account statements. Such account information may also be provided to an unaffiliated technology service provider in connection with the maintenance of your account.
Maintaining The Accuracy Of Your Information
We will use our best efforts to maintain current and accurate information regarding your account. Please notify us, in writing, in the event that you need to update your account information. Upon receipt of such information, we will update our records accordingly.
How ETC Brokerage Services Will Inform You of Changes to Our Policies
We appreciate the opportunity to serve your financial needs. We pledge to follow the policies, safeguards and guidelines as described in this notice, and to protect the confidentiality of your information. Your relationship is very important to us, and we will take great care to honor these commitments to you. Thank you for choosing ETC Brokerage Services.
Your Privacy with ETC Brokerage Services Online
ETC Brokerage Services considers your online confidentiality and privacy to be as important as your written documentation. At ETC Brokerage Services
we use a variety of protections to maintain security of your online sessions and communication. For example, we make use of
firewall barriers, authentication procedures and data encryption of 128 Bit SSL. For more information on our online privacy policies, please visit our
website at www.ETCBrokerage.com