Maintaining the trust and confidence of our clients is a high priority. That is why we want you to understand how we protect your privacy when we collect and use information about you, and the steps that we take to safeguard that information. This notice is provided to you on behalf of FSC Securities Corporation.
Information We Collect: In connection with providing investment products, financial advice, or other services, we obtain non-public personal information about you, including:
Categories of Information We Disclose: We may disclose all information that we collect. FSC Securities Corporation and its affiliates do not sell customer lists and will not sell your name to telemarketers.
Categories of Parties to Whom We Disclose: We will not disclose information regarding you or your account with us, except under the following circumstances:
* If you reside part-time or full-time in a state that requires your affirmative consent before we provide your non-public personal information to certain third-parties – such as in connection with the transfer of your advisor to another financial institution – we will obtain such consent as required.
How We Use Information: Information may be used among the affiliated companies that perform support services for us, such as data processors, technical systems consultants and programmers, or companies that help us market products and services to you for a number of purposes, such as:
Our Security Policy: We restrict access to nonpublic personal information about you to those individuals who need to know that information to provide products or services to you and perform their respective duties. We maintain physical, electronic, and procedural security measures to safeguard confidential client information.
Complaint Notification: Please direct complaints to: FSC Securities Corporation, Attn: Legal Department, 2300 Windy Ridge Parkway, Suite 1100, Atlanta, GA 30339
BCP Disclosure FSC maintains a business continuity plan and generally intends to continue business in the event of a significant business disruption. For more information regarding FSC's business continuity plan and FSC's emergency contact information, please visit our Web site at www.fscorp.com or contact your Investment Advisory Representative.
Securities Investor Protection Corporation Disclosure (SIPC) Information regarding the Securities Investor Protection Corporation (SIPC), including a SIPC brochure, may be obtained by contacting SIPC via its web site at www.sipc.org or by telephone at (202) 371-8300
FSC has adopted a Code of Ethics (the Code) to address securities-related conduct. The Code focuses primarily on fiduciary duty, personal securities transactions, insider trading, gifts, and conflicts of interest. The Code includes FSC's policies and procedures developed to protect Client's interests in relation to the following topics:
FSC provides a copy of the Code to any Client or prospective Client upon request to their Investment Advisory Representative.
2011-2012 Copyright Margolis Brady Raghavan Financial, Inc. All rights reserved.