Family Management Corporation and Family Management Securities, LLC (together, the Family Management Group of Companies) values you as a customer and respects your right to privacy. We pledge our commitment to treating your information responsibly and we have established the following policy to assure you that we are protecting your privacy.
How do we protect the confidentiality and security of your information?
What personal information do we collect about you?
The Family Management Group of Companies collects personal information about you from the following sources:
- Information we receive from you on applications and other forms;
- Information about your transactions with us through our affiliates, and
- Depending upon the product you are utilizing, information we receive from consumer reporting agencies, attorneys, accountants, or others.
The Family Management Group of Companies may disclose this information to entities that perform marketing (e.g. newsletter fulfillment center) and administrative services on our behalf or as required or permitted by law for legal, regulatory or other purposes.
The Family Management Group of Companies has always considered the protection of sensitive information to be a sound business practice and a foundation of customer trust. Within the Family Management Group of Companies and among our services providers (e.g. clearing firm), we restrict access to information to those that require that access in order to provide products and services to you.
We may share personal information with the following entities:
- Affiliates – Information collected from one affiliate may be shared with other affiliates for investment or advisory purposes. Please also see the Sharing of Information with Affiliates section below.
- Unaffiliated service providers (such as printing/mailing fulfillment services)
- Government agencies and law enforcement officials (for example, for tax reporting or under court order)
- Other organizations, with your consent (such as credit agencies or banks)
- Other organizations, as permitted by the laws that protect your privacy (such as for fraud prevention)
- We do not sell your personal information to anyone.
The law allows you to “opt out” of only certain kinds of information sharing with third parties. We do not share personal information about you with any third parties that triggers this opt-out clause. This means YOU ARE ALREADY OPTED-OUT.
If you are a former customer, your information is treated in the same manner as the information of current customers.
Sharing of Information with Affiliates (Regulation S-AM)
Federal law gives you the right to limit some but not all marketing from the Family Management Group of Companies.
You may limit the Family Management Group of Companies, such as the broker-dealer affiliate Family Management Securities, LLC and the investment advisor affiliate Family Management Corporation, from marketing their products or services to you based on your personal information that they collect and share with each other. This information includes your income, your account history, and your credit score.
Federal law also requires us to give you this notice to tell you about your choice to limit marketing from the Family Management Group of Companies.
You have chosen to limit marketing offers from the Family Management Group of Companies until you tell us to change your choice.
It is important to understand that there is no requirement for the Family Management Group of Companies to give you notice or the ability to opt-out when an affiliate has a pre-existing business relationship with you, or provides marketing material in response to an affirmative request by you, or in response to a communication initiated by you.
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