FINRA (Financial Industry Regulatory Authority, Inc., formerly known as the National Association of Securities Dealers, Inc.) has established FINRA BrokerCheck to provide certain information regarding the disciplinary history of FINRA members and their associated persons. An investor brochure that includes information describing the BrokerCheck system may be obtained from the Financial Industry Regulatory Authority, Inc.
FINRA BrokerCheck Hotline is 1-800-289-9999.The FINRA Website address is www.finra.org
At BrokerBank Securities, Inc. (BBSI), protecting the privacy of customer information is one of our most fundamental responsibilities. This Notice summarizes our policy regarding the confidentiality and disclosure of customer information. We do not sell Nonpublic, Personal Information to anyone and only share such information as stated in this Notice.
CONFIDENTIALITY AND SECURITY PROCEDURES
THE INFORMATION WE COLLECT
We may collect Nonpublic Personal Information about you from the following sources: Your account opening documentation, applications or other forms, which include name, address, phone number, social security number, and date of birth, your transactions with us, our affiliates and others; information from non-affiliated third parties, such as your credit history; and information for special services.
THE INFORMATION WE DISCLOSE
We do not disclose your Nonpublic Personal Information, as described above, to any Affiliated Third Party, including investment advisors, and banks. We do not disclose the above information to Non-affiliated Third Parties to assist us in servicing your account with us, except to securities regulators upon request; to others pursuant to a subpoena; or as otherwise permitted by law. Even if you decide to close your account(s) or your account becomes inactive, we will continue to adhere to the privacy policies and practices.
You may opt-out of this policy by sending a request to the BBSI Compliance Department in Bloomington, Minnesota through our web-site athttps://www.brokerbankus.com
Nonpublic Personal Information is personally identifiable financial information that a customer provides to a financial institution; results from a transaction with the customer; or is otherwise obtained by the financial institution. For example, nonpublic personal information includes information regarding your account value and investment history.
An Affiliated Third Party is any division or affiliate by common ownership, or affiliated by corporate control or common corporate control, with another company A Non-Affiliated Third Party is an entity that is not part of our corporate family.
PLEASE DIRECT ANY QUESTIONS OR COMMENTS ABOUT THIS NOTICE TO YOUR INVESTMENT REPRESENTATIVE.