The PrinceRidge Group LLC and our affiliates (“PrinceRidge”) understand that our relationship with you is based on trust. This is reflected in everything we do including the way we handle our clients’ nonpublic information.
The following explains the type of information we may collect, the steps we take to safeguard your nonpublic information and the circumstances in which we may share the information you have entrusted to us.
Information We Collect and How We Use It
From time to time, we may gain access to your nonpublic information through:
Our interaction with you on the telephone, in person, through e-mail or other correspondence.
Documents or forms you may complete and/or provide to us.
Transactions executed with you or on your behalf by us or our affiliated companies.
Our website or the websites of our affiliated companies.
Trading tools, systems or other information tools or systems we may make available to you.
Third parties with whom we may interact in order to verify information we receive from you.
Safeguarding Your Information
Relative to the client nonpublic information we collect, it is PrinceRidge’s policy to:
Protect the confidentiality of such information;
Prohibit the disclosure of such information; and
Limit access to such information.
PrinceRidge protects your nonpublic information from access by third parties by maintaining physical, electronic and procedural safeguards.
In the course of our business, our employees or representatives, as well as those of our affiliates, may have access to your nonpublic information. We limit access to your information to those employees or representatives who need access to the information to perform their job functions. Anyone with access to client nonpublic information is required to maintain and protect the confidentiality of that information in accordance with this policy.
Why and How We May Share Your Information
PrinceRidge will not disclose any nonpublic client information to third parties without your consent, unless those parties are providing services or support to us and have agreed to keep your nonpublic information confidential. Examples of these parties include our clearing firm(s) and our audit firm. In addition, we may be required to disclose client nonpublic information pursuant to law, statute, rule or regulation.
Even if you cease to transact business with PrinceRidge, we will continue to apply the same protections to your nonpublic information as we did when you were an active client.