Patrick Capital Markets, LLC
As providers of products and services that involve compiling personal and sometimes sensitive information, protecting the confidentiality of information has been, and will continue to be, a top priority at Patrick Capital Markets, LLC (Patrick). This brochure explains how Patrick handles and protects the personal information we collect and describes our privacy practices for both current and former customers.
HOW DO WE PROTECT THE CONFIDENTIALITY AND SECURITY OF YOUR INFORMATION?
We maintain physical, electronic, and procedural safeguards to ensure that your personal information is treated responsibly and authorize only those employees who need that information to provide products or services to you, or to conduct Patrick business. Additionally, we safeguard customer information in accordance with applicable data security regulations.
WHAT PERSONAL INFORMATION DO WE COLLECT ABOUT YOU?
Patrick collects information that helps to serve your financial needs, provide high standards of customer service, and fulfill legal and regulatory requirements and may include, but is not limited to information provided on applications and related materials, for example, name, address, social security number, and financial information; and/or information about your transactions with us, our affiliates, or others such as products and services purchased and account balances.
TO WHOM DO WE DISCLOSE INFORMATION AND WHY?
First and foremost, we do not sell lists of our customers, nor do we disclose customer information to marketing companies outside of Patrick. We will share customer information only when we are required by law or regulation to disclose information to third parties; to prevent fraud; to comply with rules of, or inquiries from industry regulators. Furthermore, as permitted by federal and state laws, we may share or exchange information with companies and individuals engaged to work with us, such as: Third-party administrators and vendors hired to effect, administer, or enforce a transaction that you request or authorize; Financial service entities, such as banks, insurance companies, or other securities broker-dealers or investment advisers with whom we have joint marketing agreements; Registered representatives at Patrick to service your account through Patrick with whom we have independent contractor agreements.
Registered representatives of Patrick Capital Markets with whom we have independent contractor agreements and that provide services to you….