Privacy Policy

We collect nonpublic personal information about you, including information such as your name, address, account balances and transaction information, from your account application and other forms that you may deliver to us, and from your transactions with us and our affiliates. This is information the regulators consider necessary for the proper servicing of your account.

In order to effect your transactions and service your account properly, we may disclose all of the information that we collect, as described above, to firms that assist us in servicing your account, such as the clearing broker-dealer.

All records containing your nonpublic information are kept at our principal place of business.

In connection with servicing your account, your nonpublic personal information may be shared among entities named in this notice, their affiliates, and no-affiliates that provide services regarding or relating to your account, including transfer agents or other service companies. Our affiliates and any non-affiliated service providers are required to protect the confidentiality of your information and to use the information only for the purposes for which disclosure to them is made. Service providers restrict access to nonpublic personal information about you to those employees who need to know that information to provide products and services to you. We, our affiliates, and the service providers we use maintain physical, electronic, and procedural safeguards to maintain the security of your nonpublic personal information.

We do not sell nonpublic personal information. We do not disclose nonpublic personal information about customers to non-affiliated third parties, except as described in this Privacy Notice or except as permitted or required by law.

In the event that you close your account or become an inactive customer, we will adhere to the privacy policies and practices as described in the Privacy Notice.

If you have any questions after reading this Privacy Policy, please contact us by writing to Privacy Management, c/o Compliance Department, Beta Capital Securities LLC., 777 Brickell Avenue Suite 1201 Miami, Florida 33131. Telephone: 305-358-8844. Fax: 305-358-8864 or Email: