George McKelvey Co., Inc. is committed to ensuring that nonpublic personal information about our clients and their accounts remains secure and confidential.
As part of providing our clients with services relating to their investment activities, we receive nonpublic personal information about them, including:
Information on applications, legal documents, or other forms, such as social security number, investment objectives, income, etc.
Information about transactions with us, such as investing history, account balances and asset holdings.
In order for us to establish and administer client brokerage account(s) and process transactions, it may be necessary for us to disclose this nonpublic personal information
to companies that perform administrative functions for us including National Financial Services LLC, our clearing agent. These companies are required to adopt policies and
procedures that address safeguards to protect this information.
We do not disclose any nonpublic personal information about our clients to anyone except as permitted by law, such as to process a transaction or to service an account. At
George McKelvey Co., Inc., only those persons who need client information to perform their job responsibilities are authorized to have access to it.
We maintain physical, electronic, and procedural security measures in our office and on our computer system to protect our clients’ nonpublic personal information.
Even after a client closes an account(s) or becomes an inactive customer, we will continue to adhere to the privacy policies and practices as described in this notice.