Broker Check

Privacy Notice

Protecting Your Privacy

Brokers International Financial Services, LLC (Brokers Financial) is committed to protecting the privacy and confidentiality of your personal information. Our Privacy Policy explains what information we collect about you, why we collect it, how we share it, and how we protect it. Our Privacy Policy applies to current and former customers of Brokers Financial.

Scope

This GLBA Privacy Notice explains what personal information Brokers International Financial Services, LLC (“Brokers Financial”) collects about you when you obtain financial products or services from us for personal, family, or household purposes, why we collect that information, how we protect it, and how we disclose it, for both present and former customers. For information about personal information we may collect about you in different contexts (i.e., apart from our provision of financial products or services), please see our General Privacy Notice at www.brokersifs.com.

Personal Information We Collect

The type of personal information we collect depends on the products or services you obtain from us. This personal information can include:

(1) Information from you;
(2) Information about your transactions with us or our affiliate;
(3) Information about your transactions with nonaffiliated third parties;
(4) Information about government agencies;
(5) Information from a consumer reporting agency.

Such personal information includes, for example, your name, address, date of birth, employment, marital status, assets, income, tax bracket, social security number, and other government-issued identification numbers or documents.

How We Collect Personal Information

We collect this personal information, for example, when you open an account with us, apply for products, seek advice about your investments, or tell us about your investment or retirement portfolio. We may also collect personal information form others, such as other companies, our affiliates, credit reporting agencies, and government agencies.

How We Protect Your Personal Information

We have security practices and processes in place to protect your personal information, including using physical safeguards (e.g. locked files and secured building) and electronic safeguards (e.g. encrypted computers, strong passwords, and restricted access) to restrict access to your information to authorized employees and representatives, trained in the proper handling, protection, and confidentiality of your personal information.

How We Share Your Personal Information

Below, please find a table disclosing the reasons for which we may share your personal information and whether you can opt-out to limit such sharing. State laws may give you additional rights to limit sharing. See below for more on your rights under state law.

Reasons We Share Your Personal Information

Do We Share?

Can You Limit This Sharing?

 For our everyday business purposes — such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, report to
credit bureaus, or as permitted by law

YesNo

 For our marketing purposes — to offer our products and services to you

YesNo

 For joint marketing with other financial companies

YesNo

 For our affiliates’ everyday business purposes — information about your transactions and experiences

YesNo

 For our affiliates’ everyday business purposes — information about your creditworthiness

YesYes

 For our affiliates to market to you

YesYes

 For non-affiliates to market to you

YesYes

 Upon termination by a representative or financial institution — permitting your representative or financial institution to retain copies of your personal information and disclose it to their new firm when that representative or financial institution terminates with us

Yes

Yes

Please note: if you are a new customer, we can begin sharing your personal information, as set forth above, 30 days from the date we sent this notice, unless you opt out, as permissible.

In addition to the reasons above, we may also share your personal information with your consent.

How to Limit Our Sharing of Your Personal Information

  • You can limit our sharing at any time. To limit the sharing of such personal information, please contact us at 877.886.1939 or return the completed opt-out form via mail to Brokers International Financial Services, LLC, Attn: Privacy Policy, 4135 NW Urbandale Dr., Urbandale, IA 50322.

    If you limit sharing on an account you hold jointly with someone else, your choices will apply to everyone on the account.

Definitions


  AffiliatesCompanies related by common ownership or control. They can be financial or nonfinancial companies.
  • Our affiliates include entities registered as investment advisers, or broker dealers, or as both a broker dealer and investment adviser (“Wealth Entities”), as well as a number of insurance agencies, and holding companies. Affiliated Wealth Entities include for example: Integrity Advisory Solutions, LLC, Wealth Management Nebraska, LLC, Gladstone Wealth Partners, LLC, Lion Street Advisors, LLC, Lion Street Financial, LLC, Annexus Securities, LLC, and First Palladium, LLC.
  NonaffiliatesCompanies not related by common ownership or control. They can be financial and
nonfinancial companies.
  • Non-affiliates we may share with can include financial services companies such as insurance companies or agencies; nonfinancial companies such as retailers and membership groups; and others.
  Joint Marketing A formal agreement between nonaffiliated financial companies that together
market financial products or services to you.
  • Our joint marketing partners include financial services companies such as insurance companies or agencies.

Please note: if you are a new customer, we can begin sharing your personal information, as set forth above, 30 days from the date we sent this notice, unless you opt out, as permissible.

In addition to the reasons above, we may also share your personal information with your consent.

Questions

Call us at (877) 886-1939.

Other Important Information

  • You can obtain information about SIPC, including the SIPC brochure, by calling them at 202.371.8300 or at www.sipc.org;
  • You can obtain an investor brochure that includes information describing FINRA BrokerCheck either by calling their BrokerCheck Hotline at 800.289.9999 or at www.finra.org;
  • California, North Dakota, and Vermont Customers: Investment adviser representatives may change investment advisory firms, and the nonpublic personal information collected by us and your representative may be provided to the new firm, so that they may continue to service your account(s). If you do not want your investment adviser representative to provide this information to their new firm, please call (877) 886-1939 or use the mail-in form below to opt out of this sharing. Some states, such as California, Vermont and North Dakota, require your affirmative consent, or an “opt-in,” rather than an opt-out, before the representative can provide your nonpublic information to the new firm. You can provide or withdraw this consent at any time by contacting (877) 886-1939.

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