IMPORTANT INFORMATION ABOUT PERSONAL PRIVACY
AND CERTAIN INFORMATION SHARING
- We obtain non-public information about clients from the following sources:
- Information received as part of the account opening process (such as name, address and social security number) or as a result of other requested services.
- Information about client’s transactions effected through Taglich Brothers. This information may include securities transactions, account positions and balances and debit card usage for those that utilize this service from Taglich Brothers. This information allows us to generate confirmations, statements and other required reports on behalf of the clients.
- Information we may receive from credit reporting agencies that has been supplied by other brokerage firms or banking sources (such as creditworthiness and credit history).
- The non-public personal information that is obtained is safeguarded in accordance with our internal policies and procedures. These policies permit only those employees who need to know the information in order to perform their duties to have access to customer’s non-public personal information. We maintain physical, electronic and procedural safeguards designed to comply with federal standards to guard client’s non-public personal information.
- We will not disclose non-public personal information about our clients to non-affiliated third parties with whom we have contracted to perform services on our behalf, such as data processing services as well as non-affiliated financial institutions such as those that may provide debit card services, without the prior consent of our clients. We may disclose non-public personal information about our clients as required by law
This notice applies only to retail client accounts (including Investment Advisory accounts) maintained by Taglich Brothers through PERSHING. It does not apply to any of our affiliates.
Pershing is a subsidiary of BNY Mellon, one of the world’s largest financial organizations. Pershing is a member of the Securities Investor Protection Corporation® (SIPC®). As a result, securities in your account are protected up to $500,000 (of which $250,000 can be for claims for cash awaiting reinvestment). For details, please go to www.sipc.org.
*Please remember that Pershing LLC carries your account pursuant to its fully disclosed clearing agreement with Taglich Brothers and that your relationship is with Taglich Brothers and not Pershing LLC, as described in more detail in the Notice to Introduced Customers that you received when you opened your account. Nothing contained herein is intended to change that relationship.