Privacy Policy Disclosure

Privacy Statement for Individuals

As a Sutter Securities client, your privacy is important to us. Reflecting the Firm's commitment to protecting the privacy of your personal information, we have implemented privacy policies consistent with the rules mandated by federal guidelines for financial institutions. We have also adopted policies and procedures designed to help ensure the security and confidentiality of our customers' records and information.

The collection of personal information

In order to help us provide the best level of service, better meet your financial needs, and provide the financial services that Sutter Securities offers, we may collect information from the following sources:

  • Applications and other forms we have filled out (including information such as your name, address, social security number and income);
  • Your transactions with us, our affiliates, or others (including information such as account balances and transaction history);
  • Credit reporting agencies (who provide us with your credit history and information to protect both you and Sutter Securities against fraud).

Disclosure of personal information to nonaffiliated third parties for business purposes

We may disclose the information described above to companies that are not affiliated with Sutter Securities for business purposes in the following circumstances:

  • Companies that perform administrative services on our behalf (such as vendors that provide data processing, transaction processing and printing services);
  • Our clearing broker.

Disclosure of personal information in other instances

Sutter Securities currently does not share information with third parties not affiliated with the Firm, such as mortgage bankers, securities broker-dealers (other than our clearing broker-dealer) and insurance agents. Please feel free to contact our Compliance Department at 415-352-6340 if you have any additional questions.

In addition, we may also disclose the information described above to nonaffiliated third parties as permitted by law, for example, to comply with a subpoena, respond to a regulatory authority or to protect against fraud.

Information Confidentiality and Security

At Sutter Securities, we restrict access to client information to those employees who need to know such information in order to perform their job responsibilities. Employees who have access to client information must adhere to our strict security and confidentiality policies.

Former Customers

Information pertaining to former clients will be treated as described in this policy.