LaraDorbecker Securities Corporation

 

           PRIVACY POLICY

           2015-2016

 

At LaraDorbecker Securities Corporation, we recognize that our relationships with our clients based on integrity and trust.  As part of that trust relationship, we are committed to keeping your personal information private.  We also want you to be aware of how we protect, collect, and disclose your personal information.

Why We Collect Your Information

We gather information about you and your accounts so that we can (i) know who you are and thereby prevent unauthorized access to your information, (ii) design and improve the products and services we offer and (iii) comply with the laws and regulation that govern us.

What Information We Collect

We may collect the following types of ‘nonpublic personal information’ about you:

• Information about your identity, such as your name, address and social security number and passport number;
• Information about your transactions with us;
• Information we receive from you on applications, such as your finances or employment.

What Sources We Obtain Your Information

We collect nonpublic personal information about LaraDorbecker Securities Corporation clients such as you from the following sources:

• Information we receive from you on applications or other forms;
• Information about your transactions with us, or others.

What Information We Disclose

Your securities account is carried by our clearing firm National Financial Service, LLC, pursuant to our clearing agreement. We may disclose all the information we collect regarding your account. Our clearing firm is contractually obligated to keep the information that we proved them confidential and use the information only for the services required and as allowed by applicable law or regulation.

We do not disclose any nonpublic personal information about our customers or former customers to anyone, except as permitted by law and noted above. Moreover, we will not release information about our customers of former customers, except as noted above unless one of the following conditions is met:

• We receive your prior written consent.
• We believe the recipient to be you or your authorized representative
• We are required by law to release information to the recipient.

We only use information about you and your account to help us better serve your investment needs or to suggest services or educational materials that may be of interest to you.

Confidentiality and Security

We maintain physical, electronic and procedural safeguards to guard your personal account information. We also restrict access to your personal and financial data to authorized LaraDorbecker Securities Corporation associates who have a need for these records. We require all nonaffiliated organizations to conform to our privacy standards and are contractually obligated to keep the information provided confidential and used as requested. Furthermore, we will continue to adhere to the privacy policies and practices described in this notice even after your account is closed or becomes inactive.

We will continue to conduct our business in a manner that conforms with our pledge to you, your expectations and all applicable laws.  For more information regarding LaraDorbecker Securities Corporation’s privacy and security practices, please visit www.laradorbecker.com.

 

                                                                                                                                                    Revised 01/16

                             Correspondent of National Financial Services LLC, Fidelity Investments Company

                                                                               Member FINRA & SiPC