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.
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.
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.
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
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
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.