Privacy Policy

The confidentiality of your personal financial information is of paramount importance to us, and we will remain vigilant in protecting your privacy. We are sending you this privacy notice to help you understand how we use your private financial information, and to let you know what we do to help protect your privacy.

 

What Information Do We Collect?

 

To serve your needs, TCM Securities, Inc. collects information from you and about you. Some of  this information is collected to satisfy certain legal and regulatory requirements, while other information is collected so that we can service your account effectively. Examples of the information that we collect includes:

 

  • Information from your account application and other forms, such  as  name, address, Social Security number, telephone number, employment information, income, net worth, investment experience, and other information to service your account effectively. We may also collect information from consumer reporting agencies.
  • Information provided by you when you visit us in person, over the telephone, through the mail or via e- mail.
  • Information about your financial transactions, including securities purchased and sold, fund transfers, account balances, and other account activities.

 

To Whom Do We Disclose Information to?

 

TCM Securities, Inc. does not sell your personal financial information to anyone. However, we do disclose your personal information to third parties or outside companies  that  help  us  process  your  transactions  or service your account. One such company is the clearing firm, which processes your transactions and acts as the account custodian. Other companies to whom we may disclose your personal information include outside investment advisors or asset managers, variable annuity or insurance companies, mutual fund companies or the like. We may also provide information to outside service providers that print and mail your  account statements. Any outside company or third party provider must limit their use of your information to the purpose for which it was provided.

 

TCM Securities, Inc. may also provide your personal information when permitted or required by law  or regulation. Examples include providing information in response to a subpoena or court order, to cooperate with regulators, governmental authorities or law enforcement authorities, or in response to a request  from  a consumer reporting agency. Outside of these circumstances, we will not provide your personal information to third parties unless you have specifically asked us to do so.

 

What Do We Do To Protect Your Personal Information?

 

We restrict access of your personal financial information to personnel who require that information to service your business. All employees are trained regarding the policies and procedures encompassed by this privacy policy. We maintain physical, electronics and procedural safeguards to guard your personal information.

 

This privacy policy applies to all of our current and former clients. If in the future this privacy policy needs to change for any reason, we will provide you with written notification of the change, allowing you the opportunity to opt-out. For questions regarding our privacy policy, or that of any of our affiliates, please email us at  compliance@tcmsecurities.com.