The following describes how Gilford Securities handles your personal information and what steps we take to protect your privacy. Your personal information is not offered or sold to marketers or otherwise used by third parties for marketing purposes.
Who we are
Gilford Securities Inc. is a registered broker dealer with the Financial Industry Regulatory Authority (www.finra.org). Our customer accounts are cleared on a fully disclosed basis by First Clearing, LLC.
Access to customer information is authorized for Gilford Securities' business purposes only. It is based on our need to know such information in order to conduct business with you and to provide products and services to you. Gilford Securities requires its account executives and all other employees having access to such information to protect it and keep it strictly confidential.
Collecting Information to Conduct Business
Gilford Securities collects your personal information in order to comply with the "know your customer" regulations of the securities industry and to provide appropriate customer service to fulfill your financial needs and investment objectives. Collected information includes:
- Information required on your new account application form and related forms, such as name, address, Social Security number, net worth and income;
- Information regarding your transactions, holdings and payment history;
- Any other information required by industry standards or regulations in order to properly service or maintain your account.
Gilford Securities takes certain measures in order to safeguard your personal information. Such measures include physical, electronic and procedural safeguards.
In that First Clearing, LLC is our clearing broker and carries your account on its books on our behalf, your information is provided to First Clearing, LLC and is maintained in its computer system and files. Also, we provide customer information to industry regulators and government agencies as well as to credit information and collection agencies when warranted in the normal course of business. We also respond to subpoenas and may provide customer information to others on a need to know basis for business purposes.