Institutional Advice

for Individual Investors

RELiANCE Investing, Inc. Privacy Policy 2015
Table of Contents
Nonpublic Personal Information Collected
In conducting business as described above, RELiANCE Investing may collect, for example, the following types of nonpublic personal information:
Information we receive from you such as: Information about your securities and/or other transactions Information about your transactions with non-affiliated third parties
Information you provide in connection with any securities account, margin loan, debit card or any other financial product or service, such as your name, address, social security number, tax ID number, assets, income, investment objectives, financial situation and debt. This information may be obtained in writing, in person, by telephone, electronically or by any other means. Information we collect that relates to account balance, payment history, trading activity and any other transactions concerning which we provide investment advisory services or investment management Information from non-affiliated third parties pursuant to law, rules, regulations, standard securities industry practice and/or legal process, including information and/or documents received, shared, produced or provided in connection with a subpoena, discovery request or other legal process compelling production Information from non-affiliated third parties related to servicing your account for purposes of providing investment management services. Nonpublic Personal Information Disclosed to Affiliates and Non-affiliated Third Parties We disclose to affiliates and non-affiliated third parties nonpublic personal information only in connection with us providing investment management services or in respect of conducting our investment advisory business. Such disclosures include, among other things, information related to transactions, settlement, billing, payment, processing, clearing, transferring, reconciling, collection and tax reporting. Such disclosures may be provided to affiliates and non-affiliated third parties:
As required or necessary to carry out fully and properly the business conducted by us such as: Disclosures to affiliated and non-affiliated third party service providers who supply us with computer related services including data maintenance and document processing and delivery Processing services, and disclosures to non-affiliated third parties such as securities clearing agencies
As required by law or legal process Former Customers We will disclose nonpublic personal information about former clients of our investment advisory and investment management business only as permitted and/or required by law or legal process, or with the former client’s consent. When You Can Limit Sharing
Federal law gives you the right to limit the sharing of your nonpublic personal information, when: (1) sharing is for affiliates' everyday business purposes, (2) sharing with affiliates is done to use your information to market to you, and (3) sharing with non-affiliates is done to use your information to market to you. We do not share your information in any of these ways. State laws and individual companies may give you additional rights to limit sharing.
2/3 Previous Next
Copyright Reliance Investing. All rights reserved. Contact Us
Business Continuity
Privacy Policy