L. M. Kohn & Company Privacy Statement
PRIVACY NOTICE
L.M. Kohn & Company, as an independent securities broker-dealer, is committed to safeguarding the confidential information of its clients. Respect for our customers’ privacy has long been highly valued at L.M. Kohn & Company. Not only is it what our customers expect, it’s the right way to conduct our business. Our privacy promise derives from basic principles of trust, ethics and integrity.
Why We Are Posting This Notice
The Gramm-Leach-Bliley Act of 1999 requires each member of the financial services industry to communicate its policy to consumers at the time of establishing a customer relationship. Furthermore, the act requires annual notification to all customers.
Where we get information
The information we collect comes primarily from answers given to us by you. This includes such information as your name, address and Social Security number that you have provided on applications, agreements or other forms. In addition, we maintain records of each of your transactions and holdings.
To whom we disclose the information
We provide information about current or former clients to parties outside of L.M. Kohn & Company only as described below:
To companies with whom we have joint marketing agreements.
A joint marketing agreement is one in which another financial institution offers a product or service jointly with L.M. Kohn & Company, such as RBC Dain Rauscher, our clearing firm for trade executions and reporting of assets.
Governing Bodies.
Please note that you may contact the Financial Industry Regulatory Authority (FINRA) at www.FINRA.org, or the Securities Investor Protection Corporation (SIPC) at www.SIPC.com or (202) 371-8300.
To other companies as necessary to process your business.
For example, we transmit your personal information to investment companies and insurance companies. Third parties in this category, like those in the category above, must limit their use of the information to the purpose for which it was provided.
Proxy Notices.
L.M. Kohn & Company does not vote proxies on behalf of clients. All proxy material is forwarded to our clients by our clearing firm RBC Dain Rauscher.
Where required by law or regulation.
Examples include responses to a subpoena, court order or regulatory demand, and as part of the Anti-Money Laundering Provisions as detailed in the U.S. Patriot Act.
As authorized by you.
You may direct us, for example, to send your account statements and trade confirmations to a third party. You may direct us to provide information to other trusted advisors such as an attorney or CPA.