Privacy Policy

Client Privacy Protection

 

 

T.H. Fitzgerald & Co. is committed to safeguarding our clients’ information.  This policy and procedure describes the information we collect; how it is handled and how it is protected. 

 

Information is collected from our clients to enable us to service them and to improve and conduct our business.  For example, we collect information to:

 

         Process portfolio transactions;

         Provide you with effective and efficient customer service;

         Assess products and services.

 

We collect the following information from each of our clients: Company name, contact name(s),

 addresses, email addresses, telephone numbers, fax numbers, account numbers and tax-id numbers.

 

The employees of T.H. Fitzgerald & Co. need to have access to client information to perform their jobs.  They may utilize, from time to time, the collected client information to better conduct business on your behalf, in order to service your account.

 

Employees who have access to your corporate information are required to maintain and protect the confidentiality of that information and must follow established procedures.  We maintain physical, electronic and procedural safeguards to protect your corporate information to comply with applicable laws and regulations.

 

T.H. Fitzgerald & Co. does not and will not rent or sell your corporate information. However, we do share your corporate information (as described above) with non-affiliated companies such as securities brokers, clearing brokers and banks.  This information is shared in order to be able to process transactions (buys and sells of securities) of the portfolio that we manage for you.  We require that these nonaffiliated companies agree to limit the use of such information to the purposes for which it was provided.

 

Finally, we may disclose corporate information to others, including non-affiliated companies and regulatory authorities, as either required or permitted by applicable law.  For example, we may disclose corporate information to:

 

         Comply with investigations by regulatory authorities or law enforcement agencies;

 

         Protect against or prevent actual or potential fraud, unauthorized transactions, claims or other liabilities.