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The following describes how PMK Securities & Research,
Inc. and its affiliates safeguard and use your personal and
financial information. We do not sell customer lists
or use your personal information for marketing purposes.
PMK Securities & Research, Inc. is a FINRA registered broker-dealer, which introduces its customers’ accounts on a fully disclosed basis to First Clearing, LLC. We provide full service brokerage to individual and institutional customers, and provide money management services through our wholly owned subsidiary, PMK Capital Advisors, Inc.
PMK Securities collects information about you to serve your
financial needs, provide customer service, offer appropriate
products and services, and to fulfill legal and regulatory
requirements. The type of information collected from customers
may vary according to products or services provided, and may
include:
- Information we receive from you on application and other
forms;
- Information about your transactions with us and others;
and
- Information we may receive from a consumer reporting agency.
PMK Securities does not disclose nonpublic personal information
about you to anyone, except as permitted by law. 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 the notice.
In the course of conducting business, we may disclose some
or all of the previously described information about you to
our clearing firm, First Clearing, LLC, or their parent Wachovia
Securities; to our affiliate, PMK Capital Advisors, Inc.; and
other businesses including non-affiliated third parties, as
allowed by law, for the purpose of:
- Providing customer service and account maintenance;
- In response to a subpoena, to prevent fraud, or to comply
with an inquiry by a government agency or regulator; and
- To perform services for us, or on our behalf
Access to your personal and financial information
by PMK Securities’ employees
is limited to a need to know basis, in order to provide products
and services to you. We require our employees who have access
to customer information to protect it and keep it confidential.
We maintain physical, electronic and procedural safeguards
to protect your personal information.
Customer Identification Program
To help the government fight the funding of terrorism and
money laundering activities, federal law requires financial
institutions to obtain, verify, and record information that
identifies each person who opens an account. When you open
an account, we are required to collect information such as
the following:
- Your name, date of birth and address
- Your taxpayer identification number
and a driver’s
license or other identifying documents
Certain accounts, such as corporation or trust
accounts, or accounts for non-U.S. citizens may need to provide
additional information. If you cannot provide the information,
or if your identity cannot be verified, we may not be able
to open an account or carry out transactions for you.
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