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Privacy Policy

Confidential Treatment of Customer Information

A federal law exists that regulates the collection, use, and safeguarding of your nonpublic personal financial information by banks, securities industry members, insurance companies, and other financial institutions. "Nonpublic personal financial information" is defined as specific information that is not available to the general public.

Before a company can share your nonpublic personal information that you have entrusted with them, they are required to notify you in advance of the sharing arrangement and to give you ample time to opt-out.

It is our desire to keep you informed of changes in federal, state or self-regulatory organization rules and regulations that may have an impact on how we conduct our securities business.

Our Commitment To Your Privacy:

Pinnacle Capital Markets understands the importance of maintaining the privacy of your personal and financial information. By entrusting us with your information, we would like to assure you of our commitment to keeping it private. We have taken measurable steps to protect the confidentiality, security and integrity of your information.

This notice will help you understand the type of information that we collect, use and protect.

Private Policy Summary:

We collect personal and financial information to process your securities transactions, to administer your account, and to carry out your request for other products and services. Examples of information collected from you include securities trading history, total assets, social security number, cash balance, margin information, and securities positions. We have implemented procedures to protect your nonpublic personal and financial information.

Pinnacle Capital Markets does not sell, share, or disclose your nonpublic information to nonaffiliated third parties unless permitted or otherwise required by law. We do share such information with affiliates to facilitate your requests or instructions. Examples of "permitted by law" include our clearing firm (which clears and settles your securities transactions) and credit bureaus. "Required by law" examples include court orders and regulatory investigations.

Additionally, we do not share or use personally identifiable health information for marketing purposes.

Our commitment to privacy protection extends to both current and former customers, except as permitted or required by law.

Specific Details of Our Privacy Policy:

Pinnacle Capital Markets , its employees or representatives may collect nonpublic personal information about you from various sources including:

  • Information provided on your account application or other forms

  • Information about your transactional history with affiliates, nonaffiliated third parties or us

  • Information from others, such as credit reporting agencies, employers and federal and state agencies

The type of nonpublic personal information collected varies according to the products or services provided and may include, for example: account balances, income, excess margin, assets, trading history, social security number, and margin loan records.

Information collected is used to process your securities transactions, update your account records, to inform you of other services that may be of interest, and to ensure compliance with securities regulations.

It may be necessary to share some or all of the information described above with affiliates to ensure that your request or instructions are fulfilled. We will not share your information with affiliates for any other reasons.

We limit access to only those employees or representatives that need to know the information in order to assist in carrying out your request for products or services. We have policies and procedures that give direction to our employees, and representatives acting on our behalf, regarding how to protect and use nonpublic personal information. Further, we maintain physical, electronic, and procedural safeguards that comply with federal and state regulations to guard your information.

We do not share nonpublic personal information about our customers with anyone including affiliates or third parties, otherwise permitted by law, which does not aid in the carrying out of your request or instructions. Additionally, we do not share personally identifiable health information unless the customer or the applicable law authorizes further sharing.

Our privacy policy applies , to the extent required by law, to employees and representatives that act on the firm's behalf. Additionally, we regularly review privacy policies of third parties for administrative services and joint marketing agreements to ensure compliance with appropriate federal and state regulations.

We reserve the right to change our privacy policies and related procedures at any time, in accordance with applicable federal and state laws. Should our policy change, you will receive notification prior to the sharing of such nonpublic information and you will be provided with an option to opt out of the information sharing arrangement.


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Copyright© 2011-2012 Pinnacle Capital Markets, L.L.C. All rights reserved. All securities offered by Pinnacle Capital Markets, L.L.C. member FINRA (www.finra.org) and SIPC. The risk of loss in electronic trading can be substantial. You should therefore consider whether such trading is suitable for you in light of your circumstances and financial resources. Nothing herein is an offer or solicitation of securities products. Account access, trade executions and system response may be adversely affected by market conditions, quote delays, system performance and other factors.

 

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