Below we describe why we gather customer information, what information we collect, how we collect it, what we use the information for and how you can instruct us if you prefer to limit the use or disclosure of that information.
We gather personal information about you to allow us to provide an enhanced and personalized investment experience, to provide you with information about us, as well as to comply with securities and other laws.
We collect nonpublic personal information about you from the following sources: (i) the account application and other forms that you complete with Abner, Herrman & Brock for any of our services; (ii) any information you give us in any other way or enter on our website, including information about your transactions and experiences with us; (iii) information (if any) we receive or collect from other sources, such as a consumer reporting agency.
We restrict access to nonpublic personal information about you to those employees with a legitimate business need for the information. Our employees are required to protect the confidentiality of information and to comply with our established policies. They may access information only when there is an appropriate reason to do so, such as to administer our services. We also maintain physical, electronic and procedural safeguards to protect information which comply with all applicable laws.
Abner, Herrman & Brock does not disclose any nonpublic personal information about you or any of our former customers to anyone, except as permitted by law. Of course, if you ask us to provide your information to a trusted third party such as your accountant or attorney, we are glad to oblige. We limit the collection and use of your information to the minimum we require to deliver our services to you. Under no circumstances will we sell information about you or your Abner, Herrman & Brock account to any unaffiliated company, group, or individual.