RCap Securities, Inc.  

CUSTOMER PRIVACY POLICY

RCap Securities, Inc. (“RCap”) is recognizes the importance of protecting your privacy. Therefore, we have implemented policies to maintain the confidentiality and security of your personal information. Below, please find our policy that is designed to help you understand what information we collect from you and how we use that information to service your account. 

Customer Privacy

We restrict access to nonpublic, personal information about you to those employees and agents who need to know that information to provide products or services to you. We maintain physical, electronic, and procedural safeguards to protect your nonpublic, personal information. 

The Type of Information We Collect

We collect personal information in the normal course of business in order to administer the accounts we manage.  We may be required by law to retain information for a certain period after your account is closed

Application and registration information.  We collect information utilized in the opening of client accounts.  This information may include names, addresses, contact information, tax reporting information, and investment preferences and objectives.

Transaction information.  After accounts are established, we collect and maintain information about transactions, balances, and activities of a client. 

Why We Collect Your Information

RCap uses personal/confidential information to help fulfill regulatory obligations.

Information that the Firm Discloses and to Whom 

We do not disclose any nonpublic, personal information about our customers or former customer to anyone affiliated or otherwise, except as permitted by law. 

We collect nonpublic, personal information about you from the following sources:

1. Information we receive from you on applications or other forms
2. Information about your transactions with us, our affiliates, or others; and
3. Information we receive from a consumer-reporting agency. 
   

Outside of these exceptions, we will not disclose personal or confidential information to third parties unless the client specifically requests us to do so.  

Confidentiality and Security

We make every effort to protect the confidentiality of client information.  The companies that we select to provide support services are not permitted to use client information for their own purposes and are obligated to use strict confidentiality.  We restrict access to personal information of its clients to our employees and agents for business purposes only.  All employees are required to safeguard such information.

We endeavor to keep our customer files complete and accurate.  We will provide reasonable access to the information we have to our clients.  In addition, at all times, clients are encouraged to identify and correct any inaccuracies in information regarding their accounts.

If at any time in the future, RCap finds it necessary to disclose information that is inconsistent with this policy, we will provide advance notice of the proposed change so the client will be able to opt-out of such disclosure.

Clients with any questions or concerns, or clients who would like to opt out of having information disclosed should contact their RCap representative at 646-829-0141.