Privacy Policy

Privacy of Personal Financial Information
Conifer Securities has a strict policy of protecting the confidentiality and security of information it collects about its clients. Generally, except as required to provide services to you or as permitted by law, Conifer Securities does not share information about its managers outside of Conifer Securities and will not do so without the client’s consent. Below you will find details of the privacy policy.

Obtaining Personal Information
In establishing a brokerage account, Conifer Securities obtains certain personal information about you which allows Conifer Securities to provide you with brokerage and related services. Generally Conifer Securities obtains information from the following sources:

  • Information received from you on applications, new account forms or other forms, such as your telephone number, home address, employment and financial information;
  • Information about your securities transactions, balances and history from account records or from third parties such as clearing firms or advisers that may be providing services to you; and
  • Information received about you from consumer-reporting agencies.

Sharing Personal Information
In certain limited circumstances, Conifer Securities reserves the right to disclose your non-public personal information to third parties, including:

  • To help administer your account (i.e., when you establish, maintain or terminate business relationships relating to you or your account and third party service providers, such as other broker-dealers, investment advisers or account custodians);
  • When processing your transactions, such as by sending transaction information to the clearing firm or another broker-dealer;
  • When using third parties to provide services relating to you or your account, such as a third party that prints your account statements; or
  • If disclosure is required by or permitted by law, including a response to a subpoena, court order or regulatory demand.

Conifer Securities does not share your non-public personal information with third parties for marketing or other purposes unrelated to providing services to you and your account. If you decide to close your account with Conifer Securities, or become an inactive customer, Conifer Securities will continue to follow its privacy policy with respect to your personal information.

Limiting the Sharing of Information
Conifer Securities reserves the right to disclose your non-public personal information to third parties as is necessary to provide services to you and as otherwise permitted or required by law. You may elect, however, to limit the information we share about you to third parties by instructing Conifer Securities to share non-public personal information about you with any non-affiliated third party that may utilize the information other than to carry out the purposes for which Conifer Securities has disclosed the information. You may exercise this option by calling: (800) 521-2424.

Safeguarding Information
Conifer Securities restricts access to your personal and account information to those employees who need to know that information to provide services to you. Conifer Securities maintains physical, electronic, and procedural safeguards to guard your non-public personal information. Should you have any questions regarding this privacy policy, please contact your Conifer Securities representative.