SWS Capital Management, LLC (“SWS Capital Management”) is committed to maintaining the trust and confidence of our clients and customers. The following is provided for information purposes. We want you to understand how we protect your privacy when we collect and use personal information in the course of business, as well as the measures we take to safeguard your information. Keeping customer information secure and private is a priority at SWS Capital Management.
Collecting Non-public Personal Information
While providing service to you, we may collect non-public personal information from sources including, but limited to, the following:
Account Applications and other standard forms which might include information such as name, address, tax identification number, asset types and amounts of investments, transactions and income;
Information we receive as a result of the transactions that you undertake with us; and
Information about your transactions we receive from our clearing firm and/or any consumer reporting agency
Protecting the Confidentiality and Security of Non-Public Personal Information
At SWS Capital Management, we restrict access to any personal and/or account information to those employees who require the information to deliver the products and services you request. Accordingly, we maintain physical, electronic and procedural safeguards to protect non-public customer information.
Disclosing Non-public Personal Information to Non-affiliated Third Parties
It is SWS Capital Management’s policy not to sell, share, or disclose information or records regarding current or former customers with non-affiliated third-party marketing companies or others, except as permitted or required by law, as necessary to process transactions on your behalf, to conduct our operations, to follow your instructions as authorized, to protect the security of our financial records, and to comply with requests during regulatory reviews and examinations.
California Consumer Privacy Act Disclosure
Your privacy is important to us. This California Consumer Privacy Act Disclosure explains how SWS Capital Management and its affiliates (the “Company,” “we,” or “us”) collect, use, and disclose personal information relating to California residents covered by the California Consumer Privacy Act of 2018 (“CCPA”). This notice is provided pursuant to the CCPA.