TCT Securities & Derivatives, LLC, recognizes and respects the privacy concerns and expectations of our customers. We provide this notice to you so that you will know what kind of information we collect about you, and the circumstances in which that information may be disclosed to third parties who are not affiliates with us.
What categories of information do we collect and disclose?
1) Information from your application form such as your name, address, email address, birth date, social security number or passport number, income and occupation.
2) Transactional information such as trading history and account balances.
3) Information provided by you, your registered representative or investment advisor, such as investment objectives and experience, product preferences or account suitability.
4) In limited cases, information from consumer reporting agencies. We may disclose all of the information we collect, as described above.
In connection with servicing your account, your nonpublic personal information may be shared among entities named in this notice, their affiliates, and no-affiliates who provide services regarding or relating to your account, including transfer agents or other service companies. Our affiliates and any non-affiliated service providers are required to protect the confidentiality of your information and to use the information only for the purposes for which disclosure to them is made. Service providers restrict access to nonpublic personal information about you to those employees who need to know that information to provide products and services to you. We, our affiliates, and the service providers we use maintain physical, electronic, and procedural safeguards to maintain the security of your nonpublic personal information.
Currently we only disclose information to our clearing and execution firms. We do not share non-public personal information with any non-affiliated third party that does not provide services in connection with your account unless permitted by law. We do not share non-public personal information with joint marketers.
• We do not share any information about former customers. We do not sell your personal information to anyone.
• We may share personal information with non-public governmental or regulatory agencies only if requested or permitted by law.
How do we protect the confidentiality, security and integrity of non-public personal information?
We restrict access to your non-public personal information to our employees who need to know that information to provide service to you. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard and protect your personal information. We treat all client information confidentially at all times.
How do we allow you to “opt out” of information sharing?