This notice is being provided by Waveland Capital Group LLC because you are a customer.
We collect and keep only information that is necessary for us to provide services requested by you and to administer your business with us. We may collect nonpublic personal information:
- from you when you complete an application or other form. This includes information such as name, address, social security number, assets, income, net worth, copies of financial documents and other information deemed necessary to evaluate your financial needs and objectives;
- as a result of transactions with us, our affiliates (if any) or others. This could include transactions completed with us, information received from outside vendors to complete transactions or to effect financial goals.
We only share your nonpublic personal information with non-affiliated companies or individuals as permitted by law, such as your representative within our firm, other broker/dealers (including clearing firms), and other product vendors, or to comply with legal or regulatory requirements. We may also, with your approval, share information with your advisors, which can include your accountant, attorney, money manager, or portfolio manager. In the normal course of our business, we may disclose information we collect about you to companies or individuals that contract with us to perform servicing functions such as:
- Record keeping;
- Computer related services; and
- Good faith disclosure to regulators who have regulatory authority over the company.
Companies we hire to provide support services are not allowed to use your personal information for their own purpose and are contractually obligated to: (1) maintain strict confidentiality; (2) use the information only for the intended purpose; (3) safeguard your information; and (4) abide by applicable privacy law. We do not provide your personally identifiable information to mailing list vendors or solicitors for any purpose.
We provide access to your securities accounts via the Internet. Your password is your private entry key to your account. You should never share it with anyone and you should change it periodically.
After accessing your securities account, do not forget to log off. This prevents others from accessing your account if you leave your computer and your session has not “timed out,” or automatically shut down.
Employee Access to Information
Only employees with a valid business reason have access to your personal information. These employees are educated on the importance of maintaining the confidentiality and security of this information and are required to abide by our information handling practices.
Protection of Information
We maintain security standards to protect your information, whether written, spoken, or electronic. We update and check our systems to ensure the protection and integrity of information.
Maintaining Accurate Information
Our goal is to maintain accurate, up-to-date customer records in accordance with industry standards. We have procedures in place to keep information current and complete, including timely correction of inaccurate information.
Should you send us your questions and comments via e-mail to any mail box provided by Waveland, we will share your correspondence with our Registered Representatives and those employees or agents most capable of addressing your questions and concerns. We will retain your communication until we have done our very best to provide you with a complete and satisfactory response. Ultimately, we will either discard your communication or archive it according to Waveland’s requirement under applicable securities laws.
Please note that, unless we expressly advise you otherwise, Waveland’s e-mail facilities do not provide a means for completely secure and private communications between Waveland and you, the User. Although every attempt will be made to keep your information confidential, from a technical standpoint, there is still a risk. For that reason, please do not use e-mail to communicate information to us that you consider to be confidential. If you wish, you may contact us instead via telephone or by facsimile. Additional transmission security is available to you if you equip your Internet browser with 128-bit “secure socket layer” encryption.
Customer Identification Program Notice
Important Information You Need to Know About Opening A New Account
To help the government fight the funding of terrorism and money laundering activities, federal law requires financial institutions to obtain, verify, and record information that identifies each person who opens an account.
This Notice answers some questions about Waveland’s Customer Identification Program.
What type of information will I be required to provide?
When you open an account, Waveland is required to collect information such as the following:
- Date of Birth
- Identification Number:
- U.S. Citizen: taxpayer identification number (social security number or employer identification number)
- Non-U.S. Citizen: taxpayer identification number, passport number, and country of issuance, alien identification card number, or government-issued identification showing nationality, residence, and photograph of you
- Driver’s license information (number, state, and expiration)
- Information from other identifying documents.
A corporation, partnership, trust or other legal entity may be required to provide other information, such as its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, partnership agreement, or trust agreement.
U.S. Department of the Treasury, Securities and Exchange Commission, FINRA, and New York Stock Exchange rules already require you to provide most of this information. These rules also may require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance.
What if I don’t provide the information requested or my identity can’t be verified?
Waveland may not be able to open an account or carry out transactions for you.
We thank you for your patience and hope that you will support the financial industry’s efforts to deny terrorists and money launderers access to America’s financial system.