Stonegate Securities, Inc. considers the confidentiality, integrity and security of client information and records absolutely essential to maintain trust and superior service.

To the extent Stonegate Securities, Inc. collects certain nonpublic personal information about the current and prospective clients, such shall not be disclosed to any unauthorized individual or entity, except as permitted by law. We will continue to conduct our business in a manner that conforms with our pledge to you, your expectations and all applicable laws.

All business activities associated with privacy and security related matters shall be reviewed and approved by the Chief Compliance Officer or his/her designee.

The Chief Compliance Officer, or his/her designee, shall be responsible to ensure the security and confidentiality of customer information and records, protect against anticipated threats to its integrity and unauthorized access. In order to establish, implement and monitor these privacy policies, the Chief Compliance Officer, or his/her designee, shall:

  1. Maintain current policies and procedures to protect client records and information;
  2. Deliver initial, and annually thereafter, privacy notices to all existing and new customers;
  3. Provide all existing and new customers an opportunity to opt-out and cease the sharing of nonpublic personal information, if applicable;
  4. Protect the collection, storage and transmission of all nonpublic personal information; and
  5. Educate employees about privacy policy and procedures.
With regard to internal security procedures, Stonegate Securities, Inc. shall restrict access to client's personal and account information to those employees who need to know that information to service the account(s). Stonegate Securities, Inc. shall maintain physical, electronic and procedural safeguards to protect nonpublic personal information.

Specifically, Stonegate Securities, Inc. shall not disclose: nonpublic personal information that it may collect other than to service providers and third parties that aid in fulfilling the service requested by you the consumer.