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Securities firms like our, and other financial institutions, are required to notify clients about their privacy policies. We at Brentwood Group, are happy to do this, because we have a longstanding policy of protecting your personal financial information from disclosure to non-affiliated parties. To view our full Privacy Policy please read more below : Privacy Policy of the Brentwood Group Ltd. It is policy of the Brentwood Group to maintain the security and confidentiality of all client information. We do not sell, nor make available, personally identifiable customer information to non-affiliated parties, except for the limited circumstances described in the following paragraph. This policy covers all types of personally identifiable customer information, including personal and financial information provided by clients at the time they open accounts, ongoing transactional activity within accounts, and other personal or financial data furnished to the Brentwood Group by clients in the course of the account relationship.
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These policies apply to all of our clients who are individuals, and to both brokerage and investment advisory accounts. As permitted by law and in order to service your account(s) with our firm, the Brentwood Group does provide limited personally identifiable customer information described above to certain third party service provides such as clearing agents; the transfer and dividend disbursing agent, affiliates with whom we have a marketing agreement for the performance of marketing services on our behalf; and custodians of investment advisory accounts. In each case, we have received assurance from the third party that its respective policies are in accordance with our own. We may disclose or report personally identifiable customer information in limited circumstances where we believe in good faith that disclosure is required or permitted by law, for example, to co-orporate with regulators or law enforcement authorities, resolve client disputes, perform credit or authentication checks, or for institutional risk control.
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The Brentwood Group collect non-public personal information about its clients from the following sources: a.) Account application; b.) Information related to transactions for the account of clients; and c.) Information received from ancillary sources, such as consumer reporting agencies, in the course of providing financial services to clients.
We restrict access to non-public personal information about you to those employees who need to know that information to provide products or services to you. We have developed and maintain physical, electronic, and procedural safeguards to guard your non-public personal information.
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