Privacy Policy

THE SECURITIES AND EXCHANGE COMMISSION HAS ADOPTED ENHANCED CUSTOMER PRIVACY RULES REGARDING THE SECURITY AND SHARING OF NONPUBLIC PERSONAL, AND ACCOUNT INFORMATION OF CLIENTS.  THESE RULES PRIMARILY ARE DIRECTED AT BANKS AND INSURANCE COMPANIES, BUT APPLY TO ALL FINANCIAL INSTITUTIONS.  AS PART OF THESE REGULATIONS, WE ARE REQUIRED TO ISSUE A “CUSTOMER PRIVACY NOTICE” ON AN ANNUAL BASIS, DISCUSSING INFORMATION COLLECTED FROM OUR CLIENTS AND OUR PROCEDURES ON HOW TO BEST PROTECT THAT INFORMATION.

INFORMATION COLLECTED:

WE COLLECT NONPUBLIC PERSONAL INFORMATION ABOUT YOU INCLUDING, BUT NOT LIMITED TO, YOUR NAME, ADDRESS, SOCIAL SECURITY NUMBER, EMPLOYMENT, AGE MARITAL STATUS, INCOME NET WORTH, SECURITY TRANSACTIONS, INTEREST AND DIVIDEND PAYMENTS, MONEY MOVEMENTS AND ASSOCIATED TAX REPORTING INFORMATION FOR TRANSACTIONS PERFORMED THROUGH CAPITOL SECURITIES MANAGEMENT, INC.

WE COLLECT THIS INFORMATION THROUGH ACCOUNT APPLICATIONS AND ASSOCIATED FORMS, TRANSACTIONS IN OUR ACCOUNT, CONNECTIONS WITH OUR WEB SITE, EMAILCOMMUNICATIONS, AND OTHER CORRESPONDENCE.

SAFEGUARDING YOUR INFORMATION:

WE MAINTAIN PHYSICAL, ELECTRONIC, AND PROCEDURAL SAFEGUARDS THAT COMPLY WITH FEDERAL STANDARDS TO GUARD YOUR NONPUBLIC INFORMATION.

SHARED INFORMATION:

WE LIMIT ACCESS TO NONPUBLIC INFORMATION ABOUT YOU TO ONLY THOSE WHO NEED TO KNOW THAT INFORMATION TO PROVIDE PRODUCTS OR SERVICES TO YOU. 

CAPITOL SECURITIES UTILIZES THE TRADE CLEARING AND CUSTODY SERVICES OF PERSHING LLC.  PERSHING IS RESPONSIBLE FOR ISSUING ITS OWN PRIVACY STATEMENT TO BE SUPPLIED TO EACH CUSTOMER IN ADDITION TO THIS DISCLOSURE.

QUESTIONS:

A FULL SET OF DETAILED PROCEDURES REGARDING CUSTOMER PRIVACY IS AVAILABLE FOR INSPECTION UPON YOUR REQUEST.  IF YOU HAVE ANY QUESTIONS PLEASE CONTACT OUR COMPLIANCE DEPARTMENT AT 703-821-2010.