Privacy Policy and Practices
We will take all reasonable precautions to maintain the confidentiality of all information provided to us when opening and maintaining a client account.
We 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 us 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 you to anyone, except as required by law.
We restrict 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 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.
We do 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 serve you more efficiently, and to increase the convenience of our services to you.
We may collect and use your personal information for marketing and advertising purposes: We may send you Barrett & Company-related or other direct marketing communications as permitted by law. You may opt-out of our marketing communications as described below.
Our 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.
Your Choices
You have the following choices with respect to your personal information.
Access or update your information. If you have registered for an account with us, you may review and update certain account information by logging into your account or you may call us toll-free at 800-556-7078 to request or update your information.
Opt-out of marketing communications. You may opt out of marketing-related emails by following the opt-out or unsubscribe instructions at the bottom of the email, or by contacting us. You may continue to receive service-related and other non-marketing emails.
Special Notice to California Residents
The following section supplements our Policy with respect to our individual clients who have a California address and supersedes anything to the contrary in the above Policy with respect to those clients only.
In response to 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