Privacy Policy
IMPORTANT PRIVACY CHOICES
Cambridge Investment Reasearch, Inc. firmly believes that it is of utmost
importance to not only protect private customer information in a secure
environment, but also, to foster our customers’ trust. Therefore we would like
to explain how we guard your private information. In doing so we are also
ensuring compliance with Regulation S-P adopted by the Securities and Exchange
Commission. Please take a moment to review the following information concerning
our privacy policy, and feel free to call our Compliance Department at
(800)-777-6080 if you have any questions or concerns. We are committed to our
efforts to service our customers, and we value the trust that you have placed
in Cambridge as your broker-dealer.
THE INFORMATION WE COLLECT ABOUT YOU
In order to service your account, it is necessary that we collect nonpublic,
personal information. Such information includes, but is not restricted to,
information from consumer reporting agencies and information services (to check
credit history and to confirm identity), from forms and applications (including
items such as Social Security number, phone number, name, income, and assets),
and from the transaction history on your account (checking items such as
balances and trading history).
OUR PRIVACY POLICY
Cambridge will not disclose nonpublic, personal information about our customers
(and former customers) except as required by law and regulation. Provided it is
necessary to effect, administer, or enforce certain transactions related to a
customer account, we may disclose such information to our clearing firms and
other providers of securities products (such as third-party vendors of advisory
services and issuers of securities). We will not disclose or utilize private
information for any purpose other than the purpose for which you originally
disclosed the information to us. Many of our customers enjoy close
relationships with their representatives, and in most cases these relationships
take precedence over the customers’ relationship with the broker-dealer. In the
event that your financial advisor leaves Cambridge, we assume that you would
want your financial advisor to take your information with him or her to the new
broker-dealer in order to service your account. If that is your choice, you
must provide written permission to your financial advisor. However, if you
would prefer that your information be kept at Cambridge and not taken with your
financial advisor to the new broker-dealer, you are welcome to call our
Compliance Department at (800)-777-6080 with any questions or concerns. Thank
you again for placing your trust in Cambridge, and we appreciate the
opportunity to service your account.