Privacy Policy

At Fagenson & Co.,Inc., protecting your privacy and safeguarding your personal information is very important to us. We have always valued the trust our customers have placed in us and are committed to the confidentiality and protection of our customers' personal information. For more information please review our privacy policy below.

Information that we collect

Fagenson & Co.,Inc. collects personal information about you to help us serve your financial needs, process transactions in your account(s), provide customer service, offer new products or services, and fulfill compliance and regulatory requirements.

Fagenson & Co.,Inc. collects nonpublic, personal information from you as well as from other sources. The sources and the information collected may include:

• Information you provide to us, to our affiliated entities, or to your registered representative on applications and related forms, through discussions with our customer service staff, or on our Web site, such as address, social security number, birth date, net worth, assets, and income.
• Information regarding your transaction history with us, such as products , account balances, trading history, and payment history, as well as information from information service companies and consumer reporting agencies, such as your transactions or credit relationships with unaffiliated third parties
• Information from other unaffiliated third parties, including employers, associations, and other institutions. If you transfer positions or funds to Fagenson & Co.,Inc., such as address, social security number, net worth, assets, and income

Sharing information

We may disclose any of the nonpublic, personal information that we collect about you as required to conduct our business and as permitted or required by law. We may share information about our customers with third-party administrators, clearing firms, and other third parties who assist in providing account maintenance or customer service to your account(s). We also may share your information with regulators and law enforcement organizations, or in response to a subpoena or discovery request, as permitted or required by law.

We do not sell, share, or disclose your nonpublic, personal information to unaffiliated third-party marketing companies. If the representative servicing your account(s) leaves Fagenson & Co.,Inc. to join another broker/dealer, the representative may retain copies of your personal information so that he or she can continue to serve you at the new firm. In doing so, your representative may share your information with the new firm, but is otherwise required to keep confidential the personal information obtained from you while the representative was affiliated with Fagenson & Co.,Inc., and he or she may only use it to service your account(s).

Opting-out

If you live in any other state (i.e., an "opt-out" state) and do not want your representative to take your information with him or her, should your representative decide to leave Fagenson & Co.,Inc. in the future, you have the right to opt-out of such disclosure. If you have a joint account, we will treat an opt-out direction by a joint customer as applying to all associated joint customers. If you wish to opt-out, now or at any time in the future, please contact our Compliance Department at 212.847.3223. You may also contact us by mail at Fagenson & Co.,Inc. Attention: Compliance Department, 60 Broad Street, New York, NY 10004.

Safeguarding privacy

Fagenson & Co.,Inc. recognizes the need to prevent unauthorized access to the information we collect, including information held in electronic format. Fagenson & Co.,Inc. authorizes access to your nonpublic, personal information only to personnel who need that information to serve you. We maintain physical, electronic, and procedural safeguards regarding your nonpublic, personal information to ensure that we comply with our own policy, industry practices, and federal and state regulations. If you decide to close your account(s), or become an inactive customer, we will adhere to the privacy policies and practices as described in this notice.

Verifying and ensuring the accuracy of your personal information

Always review all documents that Fagenson & Co.,Inc. sends you to ensure that your personal information is correct. If you ever discover an error in your personal information, please contact your representative or Compliance immediately to correct the error.

Questions

This Privacy Policy automatically applies to all of our customers and former customers. If you have any questions after reading this privacy policy, you can write to Fagenson & Co.,Inc. Attention: Compliance Department, 60 Broad Street, New York, NY 10004 or call 212.847.3223.