At A.G.P. protecting your privacy and safeguarding your personal information is very important to us. Through our network of registered representatives, we distribute a variety of financial products and services to you. We have always valued the trust our customers have placed in us and are committed to the confidentiality and protection of your personal information. For additional information, please review our Privacy Policy below.
Information We Collect
In the course of serving you as our customer, A.G.P. may collect personal information about you to help us serve your financial needs, process transactions in your account(s), provide customer service, offer new products or services, and fulfill compliance and regulatory requirements. Our responsible collection and use of personal information are limited to what is necessary to operate and administer the firm’s business and to provide customers with appropriate information. This is important to our ability to bring you the highest level of service while recognizing your reasonable expectations of privacy.
A.G.P. may collect nonpublic, personal information from you, as well as from other sources. The information collected and sources used may include:
- Information you provide to us, to our affiliated entities, or to your registered representative on applications and related forms, through discussions with our customer service staff, or on our Web site, such as an address, social security number, birth date, e-mail address, net worth, assets, and income.
- Information regarding your transaction history with us, such as products or services purchased, account balances, trading history, and payment history, as well as information from information service companies and consumer reporting agencies, such as your transactions or credit relationships with unaffiliated third parties.
- Information from other unaffiliated third parties, including employers, associations, benefit plan sponsors, and other institutions or non-financial services providers, such as mutual fund companies, investment firms, third-party administrators, clearing firms, and other third parties who assist in providing account maintenance or customer service to client account(s). If you transfer positions or funds to A.G.P., information includes, without limitation, address, social security number, net worth, assets, and income.
- Information collected indirectly from you may include your Internet Protocol (IP) address, Internet Service Provider (ISP), browser type, operating system, time stamps, prior and following Web site you view, and banner ads you click. We do this through the use of cookies, which are small text files sent between the Web server and the internet browser on your computer. Please see our Cookies Policy below.
Safeguarding Privacy
A.G.P. recognizes the need to prevent unauthorized access to the information we collect, including information held in electronic format. A.G.P. authorizes access to your nonpublic, personal information only to personnel who need that information to serve you. In order to protect your personal information, we maintain physical, electronic, and procedural safeguards and security measures, including secured files, computers and offices, to ensure compliance with federal and state laws, rules and regulations, as well as industry standards and practices and our own internal policies.
Sharing Information
We may disclose any of the nonpublic, personal information that we collect about you as required for conducting our day-to-day business. The firm reserves the right to disclose or report personal information in limited circumstances where the firm believes in good faith that disclosure is required under law, to cooperate with regulators or law enforcement authorities, to perform necessary credit checks or collect or report debts owed to the firm, or to protect the firm’s rights or property. We may share information about our customers with our affiliates, unaffiliated financial or non-financial services providers, such as mutual fund companies, investment firms, any A.G.P. affiliated company, third-party administrators, clearing firms, and other third parties who assist in providing account maintenance or customer service to your account(s). If you decide to close your account(s), or become an inactive customer, we will adhere to the privacy policies and practices as described in this notice.
We also may share your information with regulators and law enforcement organizations, or in response to a subpoena or discovery request, as permitted or required by law.
We do not sell your non-public personal information identified above; however, we may share/disclose nonpublic personal information about you with affiliated and/or unaffiliated third-party companies for marketing purposes. You have the right to “opt-out” of such disclosure, as described at the bottom of this Privacy Policy.
All companies with whom we share information are contractually obligated to comply with strict standards regarding security and confidentiality, and the information provided can be used only for the sole purpose of providing the service(s) we have requested the company to perform or would be expected to be performed based up such third party’s lines of business.
Our Cookies Policy
Cookies may better help us serve you by providing operational data to assist you in using our Web site, improving its functionality and performance. The use of cookies and similar technologies is a common internet practice, allowing websites to recognize your device, keep track of pages you have visited, and remember personal preferences for your convenience. Cookies may also be placed by third parties when you visit their sites through links from our Web site. We do not have access to these cookies or any information these cookies may contain. Please contact the third-party site for more information on these cookies. While we encourage third parties to adhere to appropriate privacy standards and policies, we are not responsible for the actions or policies of such parties. You may refuse to accept cookies by accessing the privacy settings on your browser or device, by managing the cookie settings for each browser and device that you use. However, if you do not accept cookies, you may experience inconvenience or difficulties related to efficiency, performance or access when visiting our site.
Google Adwords and Remarketing Policy
A.G.P. uses all features of Google Analytics for Display Advertisers. That includes obtaining specific visitor cookie data, such as the source, medium and keyword used to visit our website. Google Analytics does not store any visitor-specific data and we will not use visitor-specific data in any way related to Google Analytics, Google Adwords, and Remarketing. When creating remarketing lists, we can’t use any sensitive information about users. This includes information such as their financial status, sexual orientation, and other sensitive categories.
As AdWords advertisers, we are restricted from and will not perform the following actions:
(a) Running ads that collect Personally Identifiable Information (PII) including, but not limited to, email addresses, telephone numbers, and credit card numbers
(b) Creating a remarketing list or creating ad text that specifically targets users in ways that are outlined or described as prohibited by our Privacy Policy.
Visitors can opt-out of Google Analytics for Display Advertisers and opt-out of customized Google Display Network ads by visiting the Ads Preferences Manager.
Verifying and Ensuring the Accuracy of your Personal Information
We remind you to always review all documents that A.G.P. sends you to ensure that your personal information is correct. If you ever discover an error in your personal information, please contact your representative immediately to correct the error. If we agree, we will correct our records. If we do not agree, you will have the opportunity to submit a short statement of dispute, which we will include in future disclosures regarding the information at issue. Lastly, information collected in connection with or in anticipation of any claim or legal proceeding will not be made available.
Opting-out of A.G.P.’s Information Sharing
Federal law gives customers the right to limit some but not all customer information sharing, and applicable state laws may provide further limitations. If you live in certain states (i.e., an “opt-out” state) and do not want your representative/firm to share your information, you have the right to opt out of such disclosure. Requests by individuals holding joint accounts will apply to all customers named in that account and each customer will be considered to have opted out. If you wish to opt-out of information disclosure, now or at any time in the future, please contact our Compliance Department at 800-727-7922. You may also contact us by mail at A.G.P., Attention: Compliance, 88 Post Road West, 2nd Floor, Westport, CT 06880.
A.G.P. reserves the right to change or amend this Privacy Policy. The examples contained within this Privacy Policy are illustrations and not intended to be exclusive. This notice complies with recent federal legislation and SEC regulations regarding privacy.