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| Confidentiality is Essential |
To help the U.S. Government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.
What This Means To You- When you open an account with our Firm, we will ask for your name, address, date of birth and other information which will allow us to establish your identity. We may also ask to see your driver's license or other identifying documents. All personal information that you provide to us is confidential as outlined within our Privacy Policy. |
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Keeping customer information secure is a top priority for all of us at Kovack Securities, Inc. We are providing you this Privacy Notice to help you understand how we handle the personal information about you that we collect and may disclose.
Kovack Securities provides retail securities brokerage services to clients who work with our Registered Representatives. As such, we receive and maintain information about you related to your account(s).
Where we get information. The information we collect about you comes primarily from your Registered Representative who handles your account(s). |
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| This includes such information as your name, address, Social Security number, and other financial information that you may have provided on applications, agreements or other forms. In addition, we may obtain information from nonaffiliated third parties pursuant to law, rules, regulations, standard securities industry practice and/or legal process. |
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To whom we disclose the information. We provide information about current or former clients of our Registered Representatives from the sources described above to parties outside of Kovack Securities only as described below: |
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To companies with whom we have contractual agreements. A contractual agreement is one in which another financial institution offers a product or service jointly with Kovack Securities, such as providing VISA card access to your account. These institutions are prohibited by agreement from using information about you except for the narrow purpose for which we gave it to them. |
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To other companies as necessary to process your business. For example, we transmit your account and transactional information to a company that prints your account statements. Third parties in this category, like those in the category above, must limit their use of the information to the purpose for which it was provided. |
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Where required by law or regulation. Examples include responses to a subpoena, court order or regulatory demand. |
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As authorized by you. You may direct us, for example, to send your account statements and trade confirmations to a third party. |
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As otherwise authorized or permitted by law. For example, the law permits us to respond to a request for information about you from a consumer-reporting agency. |
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| Confidentiality and security We restrict access to information about you to those employees and authorized agents who need to know that information in order to provide products or services to you. We maintain physical, electronic and procedural safeguards that comply with federal standards to maintain the confidentiality of your information. |
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