JOINT PRIVACY PROTECTION POLICY
I. Confidentiality and Security
Together with our participating correspondent firms, we at Cales Investments, Inc. take our role in protecting the private personal and financial information that we have obtained about you with the utmost sincerity. We restrict access to nonpublic information about you to those employees who need to know that information to provide products or services to you and in the maintenance and service of your account. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your nonpublic personal information. Whether you are a current customer or a former customer you have our assurance that your information will be duly protected.
II. Categories of information we collect
As accounts introduced to Cales Investments, Inc. by independent broker dealers, nonpublic information about you is obtained by your broker/dealer and Cales from the following sources:
III. Disclosures of Nonpublic Information
Neither Cales nor your broker dealer discloses any nonpublic information about our customers or former customers to anyone, except as permitted by law. Disclosure may be necessary in several instances for example, to insure that your account receives adequate service or in direct response to a regulatory request.
We will not share information about you to unaffiliated third parties, such as security broker dealers, unless the receiver enters into an agreement that they will also maintain your private information with the utmost care and will not utilize the information other than for the purpose fro which it was disclosed. The same standard will be applied to all contractual arrangements wherein your information may be shared, such as computer service providers and statement vendors.