Last updated: April 8, 2020
The confidentiality of client information is an important concern of GREAT POINT CAPITAL, LLC and Robert M Pecha. We take precautions to safeguard client personal information at all times, and we will remain vigilant in protecting that information. The provisions of this privacy notice will apply to former clients as well as current clients.
Information We Collect
To conduct regular business, we may collect non-public personal information from sources such as:
- Information we receive from you on account applications, such as your address, date of birth, Social Security Number, occupation, financial goals, assets and income;
- Information about your transactions with us, our affiliates, or others; and
- Information received from credit or service bureaus or other third parties, such as your credit history or employment status.
We may disclose any of the non-public personal information that we collect about you, as required to conduct our business and as permitted or required by law. We may share information about our customers with our affiliated Investment Adviser and/or with unaffiliated financial or nonfinancial services providers, such as insurance companies, mutual fund companies, banks, investment firms, third-party administrators, clearing firms, and other third parties who assist us in providing account maintenance or customer service to your account(s). We also may share your information with regulators and law enforcement organizations or in response to a subpoena or discovery request, as permitted or required by law.
We do not sell, share, or disclose your non-public personal information to unaffiliated third-party marketing companies.
If the advisor servicing your account(s) leaves GREAT POINT CAPITAL, LLC to join another financial institution, the advisor may retain copies of your personal information so that he or she can continue to serve you at the new firm. In doing so, your advisor may share your information with the new firm but is otherwise required to keep confidential the personal information obtained from you while the advisor was affiliated with GREAT POINT CAPITAL, LLC and he or she may only use it to service your account(s).
If you live in an “opt-out” state and do not want your advisor to take your information with him or her should your advisor decide to leave GREAT POINT CAPITAL, LLC in the future, you have the right to opt out of such disclosure. If you wish to opt out, now or at any time in the future, please contact the GREAT POINT CAPITAL, LLC Home Office at (312) 356-4400.
GREAT POINT CAPITAL, LLC and Robert M Pecha recognize the need to prevent unauthorized access to the information collected, including information held in electronic format. GREAT POINT CAPITAL, LLC and Robert M Pecha authorize access to your non-public personal information only to personnel who need that information to serve you or to conduct our operations. We maintain physical, electronic, procedural, and contractual safeguards regarding your non-public personal information to ensure that we comply with our own policy, industry practices, and federal and state regulations. All employees are trained in the proper handling of sensitive information. If you decide to close your account(s) or become an inactive customer, we will adhere to the privacy policies and practices as described in this notice.