Disclosures: Privacy Statement
Customer Privacy Notice
BTIG, LLC understands your privacy is important and the firm has always been committed to maintaining your confidentiality. This notice will help you understand what types of nonpublic personal information -information about you that is not publicly available- we may collect, how we use it, and how we protect your privacy. We recognize that you expect your personal information to be handled in a professional, confidential manner and we have adopted policies to safeguard your privacy and this statement explains the circumstances, under which we may collect, maintain and use any non-public personally identifiable information that you provide us.
Information We Collect
We collect information about you to help us provide services to you, offer new products or services, and fulfill legal and/or regulatory requirements. The types of information we collect may include:
- Information we receive from you on account opening applications or other forms (for example, your name, address, social security number, assets and income).
- Information about your transactions with us or others (for example, your transaction history, account balance, payment history, or parties to transactions).
- Information that we may receive from a consumer reporting agency such as your credit worthiness and credit history.
- Information provided via our websites and electronic (including e-mail) or other forms of communications.
Information Sharing and Disclosure
We do not share non-public personal information about you with unaffiliated third parties unless: (1) it is necessary to complete a transaction on your behalf; (2) it is necessary to protect you against fraud, comply with a subpoena or other court or regulatory order or is otherwise required or permitted by law; (3) the party is providing services or support to us and in such capacity has agreed to maintain the confidentiality of the information its receives in providing those services and has also agreed that it is prohibited from using any information obtained for their own purposes outside of providing services to us. We do not sell your personal information to anyone. In the event of a company level transaction or similar event, including, but not limited to, a combination, merger or buyout, we may transfer your information to such combined, new or successor entity.
We limit access to your personal and account information to those employees who have a need to know that information in order for us to provide products, services, support or assistance to you and who have been trained on the proper handling of personal information. We also maintain physical, electronic, and procedural safeguards to protect and guard your nonpublic personal information. If you decide to close your account(s) or become an inactive customer, we will continue to adhere to the privacy policies and practices as described in this or subsequent notices.
Changes to the BTIG Privacy Statement
- Privacy Statement
- Business Continuity Plan
- SEC Rule 606
- Extended Hours Trading Risk Disclosure
- Order Handling Disclosure
- FINRA and SIPC Notification
- ISE Solicited Order Mechanism
- Customer Identification Program
- FINRA Rule 5320 Disclosure
- FINRA Rule 2124 Net Orders
- FINRA Rule 5270 Disclosure
- Investor Protection Principles
- Guaranteed Orders
- UK Disclosures
- AP Disclaimer
- HK Disclosures
- AU Disclosures
- Report Disclaimer
- Imagery Use