Privacy policy for:
Cadaret, Grant & Co., Inc.
Cadaret, Grant Agency
Capital Strategy Group, Ltd.
Cadaret, Grant & Co., Inc., an independent broker/dealer, respects the privacy of any nonpublic, personal information that clients provide in order for us to open and service their accounts. We are committed to safeguarding that information by holding it in the strictest confidence.
We gather only information that is necessary for us to effect, administer, or enforce a transaction that a client authorizes or requests. Such information may include health and financial information that has been gathered from account applications and other forms needed to service accounts.
To further protect client privacy, we have policies in place to restrict employee access to personal information. We may disclose personal information to other financial institutions for the sole purpose of effecting a transaction requested or authorized by a client or to service a product or to provide a service that a client has requested or authorized.
If you transfer your account, in the process of transferring your investments we may share your information with the new broker/dealer or custodian that you or your representative selects. If the representative servicing your account leaves Cadaret, Grant to join another firm, the representative is permitted to retain copies of your information so that he or she can assist with the transfer of your account and continue to serve you at his or her new firm.
We do not disclose your information to nonaffiliated companies that intend to market their products to you.
Opting out of third-party disclosures: If you prefer that we do not share your information (other than as prescribed by law) with nonaffiliated third parties, including the registered representative servicing your account when or if he or she leaves to join another broker/dealer, you may contact the Cadaret, Grant Compliance Department at 800.288.8601.
At times, federal and state regulators also may review firm records as permitted by law. We do not provide nonpublic, personal information to mailing list vendors or solicitors under any circumstances. Any information gathered will be maintained during the time you are a client, and for the required time thereafter that such records are required to be maintained by federal and state securities laws.