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Privacy Policy

S.L. Reed & Company (Reed) is committed to safeguarding your personal information.  This notice describes our privacy policy and how we handle and protect personal information that we collect.  The provisions of this notice apply to all past, present, and future customers of Reed.

Why and How We Collect Personal Information

We collect personal information about you so we may provide services that are appropriate for you, given your financial and investment history.  The personal information that we collect about you includes:

  • Information you provide on the new account application including name, address, occupation, assets and income
  • Information about the types and frequency of the transactions you may initiate
  • Information we may receive from consumer agencies, such as your credit history and creditworthiness

How We Protect Personal Information

We limit access to your personal information to those employees who need it in order to conduct our business, clear and settle transactions in your account, and help develop any products we may offer to you in the future.  Our employees are required to maintain and protect the confidentiality of your personal information and must follow established procedures to do so.  We also maintain physical, electronic, and procedural safeguards to protect information.

Disclosure of Information

We may disclose personal information to companies under contract with us to perform services for you including mutual fund companies, securities brokers, clearing brokers and banks.  In addition, we may disclose such information to vendors providing data processing, computer software maintenance, transaction processing, and any other service needed to conduct our securities business.

We may also disclose personal information to regulatory authorities as required by law.  For example, information may be disclosed to cooperate with regulatory authorities and law enforcement agencies and as necessary to protect our rights and property.

Except in those specific, limited situations described above, we will not make any disclosure of your personal information to other companies who may want to sell their products or services to you.  For example, we do not sell customer lists and will not sell your name to any marketing firm.

Accessing and Revising Your Personal Information

We endeavor to keep our files complete and accurate.  We will give you reasonable access to the information we have about you.  Most of this information is contained in account statements that our clearing firm forwards to you, and applications that you submit to us to obtain products and services.  We encourage you to review this information and notify us if you believe any information should be corrected or updated.

We reserve the right to change this privacy policy.  The examples contained within this privacy policy are illustrations and they are not intended to be exclusive.  This notice applies to a recently enacted Federal law and new SEC regulations regarding privacy.  You may have additional rights under other foreign or domestic laws that may apply to you.

If you have a question or concern about your personal information or this privacy notice, please contact our office at (310) 893-3030.