The Securities and Exchange Commission has adopted enhanced customer privacy rules regarding 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”, discussing information collected from our clients and our procedures on how to best protect that information.
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 your account, connections with our website, email communications, and other correspondence.
We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your nonpublic information.
We limit access to nonpublic information about you to only those who need to know that information to provide products and services to you.
Capitol Securities utilizes the trade clearing and custody services of Raymond James Financial, Inc. Raymond James is responsible for issuing their own privacy statement to be supplied to each customer in addition to this disclosure.
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 804-612-9700.