Privacy Policy
Privacy Policy and Practices
Barrett & Company will take all reasonable precautions to maintain the confidentiality of all information provided to us when opening and maintaining a client account.
Barrett & Company will, under terms and conditions of The United States Patriot Act, obtain information from you that is necessary for us to comply with terrorism and money-laundering activities.
This following information would have to be provided to Barrett & Company before an account can be established with us - Name, Date of Birth, Legal Address, Social Security or Tax Identification Number, copy of a Driver’s License, Passport, or Government issued photo identification.
We collect non-public personal information about you from the following sources:
- Information provided by you on applications or other forms;
- Information about your transactions and account with us, our affiliates or others; &
- Information we receive from customer reporting agencies, such as credit rating bureaus.
We do not disclose any non-public information that we have about any client or any former client to anyone, except as required by law.
Barrett & Company restricts access to your nonpublic personal information to our clearing broker, National Financial Services, LLC, and to those of our employees who need to know the information in order to provide services to you. We maintain all required physical, electronic and procedural safeguards that comply with federal standards to guard your non-public personal information.
Barrett & Company does not sell your personal information to anyone. The primary reason for sharing information with our clearing firm and employees is to give you more financial service options, to more efficiently serve you, and to increase the convenience of our services to you.
Barrett & Company’s privacy policy may be amended from time to time and you will receive appropriate notice when any of our policies change.
SHARING YOUR INFORMATION
We may disclose any of the nonpublic personal information that we collect about you, as required to conduct our business and as permitted or required by law. We may share information about our customers with our affiliated financial services providers, such as mutual fund companies, banks, investment firms and any third-party affiliates who assist us in providing you with product options, account maintenance and/or customer service. We may also share your information with regulators and law enforcement organizations, or in response to a subpoena or discovery request, as required by law. We do not sell, share, or disclose your nonpublic personal information to unaffiliated third-party marketing companies.
SPECIAL NOTICE TO RESIDENTS OF MASSACHUSETTS
The following section supplements our Policy with respect to our individual clients who have a Massachusetts address and superseded anything to the contrary in the above Policy with respect to those clients only.
The state of Massachusetts requires financial institutions to obtain your consent prior to sharing personal information that they collect about you with nonaffiliated third parties, or eligible information with affiliated companies, other than in certain limited circumstances. Except as permitted by law, we will not share personal information we collect about you with nonaffiliated third parties, or eligibility information with affiliated companies, unless you provide us with your written consent to share such information.
SPECIAL NOTICE TO RESIDENTS OF VERMONT
The following section supplements our Policy with respect to our individual clients who have a Vermont address and superseded anything to the contrary in the above Policy with respect to those clients only.
The state of Vermont requires financial institutions to obtain your consent prior to sharing personal information that they collect about you with nonaffiliated third parties, or eligible information with affiliated companies, other than in certain limited circumstances. Except as permitted by law, we will not share personal information we collect about you with nonaffiliated third parties, or eligibility information with affiliated companies, unless you provide us with your written consent to share such information.
SPECIAL NOTICE TO RESIDENTS OF CALIFORNIA
The following section supplements our Policy with respect to our individual clients who have a California address and superseded anything to the contrary in the above Policy with respect to those clients only.
In response to a California law, if your account has a California home address, your personal information will not be disclosed to non affiliated third parties except as permitted by applicable California law, and we will limit sharing such personal information with our affiliates to comply with California privacy laws that apply to us.
QUESTIONS: If you have any questions after reading this privacy policy, we encourage you to contact your financial advisor or to write; Barrett & Company c/o Compliance Department, 42 Weybosset Street, Providence, RI 02903.