Livingston Securities, LLC
Privacy Policy and Use of Information Collected
At Livingston Securities, we recognize the importance of protecting your privacy. Accordingly, we will not share non-public, personal information we receive from you with third parties without your consent, except for the specific purposes indicated below.
The following also serves to notify you how we will collect, use and share the information we do obtain about you.
This policy applies to all customers of Livingston Securities, LLC.
Collection of Information – We collect information from you when you establish an account. The information we collect may include personal information such as your name, address, phone number, email address, date of birth, Social Security number, bank references, occupation, copies of your passport or drivers license, investment objectives and experience. In addition to using this information to establish your account, we will use this information to verify your identity.
Third-Party Information Providers and Disclosure of Information – We will not disclose your information to affiliate or non-affiliate third-parties except as necessary to obtain additional information to verify your identity, employment or creditworthiness, or as set forth below. In such instances, Livingston Securities will ensure that such vendors or service providers evidence that they maintain a privacy policy in connection with the information that we may provide to them. In other instances Livingston Securities may disclose certain information about you to other third parties; in order to provide you with brokerage services through the firm, its clearing broker and its clearing firm, to perform audits through its accountants or auditors and, when we believe that such disclosure is required under law. We may be required to disclose information to the firm’s attorneys and cooperate with regulatory or law enforcement authorities, including but not limited to Anti-Money Laundering policies and programs and, in the resolution of customer disputes.
Opt Out Provision - Please be advised that you have a right to “opt out” of the information sharing as set forth above however, should you decide to “opt out”, the firm will be unable to establish an account for you as the sharing that occurs is necessary to establish and maintain your account. Further, certain information sharing in which we participate is required by the firm’s regulators (FINRA and the U.S. Securities and Exchange Commission) and/or the federal/state judicial system. Additionally, the firm reserves its right to share appropriate personal information about you with our attorneys, accountants, auditors and service providers in order to effectively discharge its obligations with federal securities laws and other securities regulations.
Safeguarding Your Information – Livingston Securities maintains physical, electronic and procedural safeguards to ensure that your personal information is adequately protected. We limit access to your information in several ways. Internally, your information is available only to authorized employees requiring access in order to perform their employment obligations which necessitate such access. All employees are required to be familiar with the firm’s privacy policies and procedures.
Access and Accuracy of Your Information – Livingston Securities is committed to maintaining accurate information about you. If you would like to review any of the records that we maintain about you, please contact us. If you note that any of your personal information is incorrect, please contact us so that we may review and amend it.