Privacy Policy and Investor Protection
NASAA (North American Securities Administrators Association) Disclosure
The following is important public interest and investor protection information. After reading, if you have any questions or comments, please contact Stanford Capital Management at 1-866-961-6001.
Stanford Capital Management will only transact business or provide follow-up, individualized response to customers in states where it is licensed or qualifies for an applicable extension. Firewalls or other procedures are implemented to insure that prior to any direct communication with prospective customers or clients in each state, Stanford Capital Management is licensed or qualifies for an exemption or exclusion from the registration requirements. This Internet communication is limited to the dissemination of general information on products and services.
Additional provision for the following states: California: To receive information on Stanford Capital Management’s licensure status or disciplinary history, contact the state securities law administrator. Iowa: Any offer is not made directly or indirectly to Iowa residents. Massachusetts: Any offer is not made directly or indirectly to Massachusetts residents. The securities must be registered in the state or exempt from registration before any sales. Nebraska: All offerings must be declared effective by the Director of Securities Bureau unless sales are exempt from registration.
Privacy Pledge and Notification
PRIVACY POLICY NOTICE
Stanford Capital Management respects your right to privacy. We have always been committed to securing the confidentiality and integrity of your personal information. We are proud of our privacy practices and want our current and prospective customers to understand what information we collect and how we use it.
Why We Collect Your Information
We gather information about you and your accounts so that we can (i) know who you are and thereby prevent unauthorized access to your information, (ii) design and improve the products and services we offer and (iii) comply with the laws and regulations that govern us.
What Information We Collect
We may collect the following types of non-public personal information about you:
- Information about your identity, such as your name, address and Social Security number;
- Information about your transactions with us; and
- Information we receive from you on applications, such as your beneficiaries or income and assets.
How We Obtain Your Information
We collect non-public personal information about Stanford Capital Management clients such as you from the following sources:
- Information we receive from you on applications or other forms;
- Information about your transactions with us, our affiliates or others;
- Credit reporting agencies (who provide us with your credit history and information to protect both you and Stanford Capital Management against fraud); and
- If you visit our Web site, information we collect via a Web server, often referred to as a ”cookie.” Cookies indicate where a site visitor has been online, how often and what has been viewed.
What Information We Disclose
We do not disclose any non-public personal information about our customers or former customers to anyone, except as permitted or required by law. Moreover, we will not release information about our customers or former customers unless one of the following conditions is met:
- We receive your prior written consent;
- We believe the recipient to be you or your authorized representative; or
- We are required by law to release information to the recipient.
We only use information about you and your account to help us better serve your investment needs or to suggest services or educational materials that may be of interest to you.
Information Sharing Among Our Family of Affiliated Companies
In the course of business, we may disclose the information described above to affiliates of Stanford Capital Management that may provide products and services of interest to you. We may share information to provide customer service, to inform you of financial services you might want to take advantage of, and to prevent fraud against you and Stanford Capital Management. You should know that we are committed to making certain that information shared with other affiliates is monitored in accordance with our strict security and confidentiality policies.
Disclosure of Personal Information to Non-affiliated Third Parties
We may disclose the information described above to companies that are not affiliated with Stanford Capital Management for business purposes with companies that perform administrative services on our behalf (such as vendors that provide data processing, transaction processing and printing services). When we disclose information in this manner, Stanford Capital Management contractually requires all third parties to maintain the confidentiality of any personal information.
In addition, we may also disclose the information described above to non-affiliated third parties as permitted or required by law, for example, to comply with a subpoena, respond to a regulatory authority or to protect against fraud.
Stanford Capital Management currently does not share information with non-affiliated third parties for non-business purposes. Should this change, clients will be provided notice that information is going to be shared and then be given the opportunity to opt out of such arrangements.
Confidentiality and Security
We maintain physical, electronic and procedural safeguards to guard our personal account information. To further protect your privacy, our Web site uses the highest levels of Internet security, including data encryption, user names and passwords, and other tools. We also restrict access to your personal and financial data to authorized Stanford Capital Management associates who have a need for these records. We require all non-affiliated organizations to conform to our privacy standards and those organizations are contractually obligated to keep the information provided confidential and used as requested. We will continue to adhere to the privacy policies and practices described in this notice and with all applicable laws even after your account is closed or becomes inactive.
Antiphishing
Stanford Capital Management and the other companies within the Stanford financial group of companies will never send an email that requires you to click on a link to a web page and provide your user ID, password, account information, or any other personal or confidential information or to reply to the email and provide such information. Furthermore, you will never be asked to confirm your user ID or password via email. If you ever receive an email as described above, do not respond or click on any internal links. If you are in doubt about the authenticity of an email you have received from us, please contact Stanford IT Security.
PRIVACY POLICY
Stanford Capital Management considers client privacy its utmost concern. In order to provide clients with individualized service, Stanford Capital Management shall collect certain non-public personal information about its clients from information provided on applications or other forms, and information about account transactions with Stanford Capital Management. Stanford Capital Management may also collect such information through account inquiries by mail, e-mail or telephone.
Stanford Capital Management shall not disclose any non-public personal information about its clients to anyone except as permitted or required by law. So that Stanford Capital Management can continue to offer products and services that best meet the client’s investing needs, and to effect transactions that are requested or authorized, Stanford Capital Management may disclose collected information to companies that perform administrative, custodial and/or transactional services, such as transfer agents or printers/mailers that assist Stanford Capital Management in the distribution of investor materials. These companies will utilize this information only for the designated services that have been requested and are not permitted by Stanford Capital Management to share this information for any other purpose.
If a client decides at any point either to close the account(s) or to become an inactive client, Stanford Capital Management shall continue to adhere to the privacy policies and practices described herein.
With regard to internal security procedures, Stanford Capital Management shall restrict access to personal and account information to those employees who need to know that information to service the account. Stanford Capital Management shall maintain physical, electronic and procedural safeguards to protect client non-public personal information.