Disclaimer
Securities offered through Vanderbilt Securities, LLC •Member: FINRA, SIPC • Registered with MSRB • Advisory Services offered through Vanderbilt Advisory Services. Hansen’s Advisory Services and Vanderbilt Securities, LLC, are separate entities. Vanderbilt Financial Group is the marketing name for Vanderbilt Securities, LLC and its affiliates. Securities offered through Vanderbilt Securities, LLC. Member FINRA, SIPC. Registered with MSRB. Clearing agent: Fidelity Clearing & Custody Solutions. Advisory Services offered through Vanderbilt Advisory Services & Consolidated Portfolio Review. Clearing agents: Fidelity Clearing & Custody Solutions, Charles Schwab & TD Ameritrade Insurance Services offered through Vanderbilt Insurance and other agencies. Supervising Office: 125 Froehlich Farm Blvd, Woodbury, NY 11797 • 631-845-5100 For additional information on services, disclosures, fees, and conflicts of interest, please visit www.vanderbiltfg.com/disclosures
This website is for informational purposes only and does not constitute a complete description of our investment services or performance. This website is in no way a solicitation or offer to sell securities or investment advisory services except, where applicable, in states where we are registered or where an exemption or exclusion from such registration exists. Information throughout this site, whether stock quotes, charts, articles, or any other statement or statements regarding market or other financial information, is obtained from sources which we, and our suppliers believe reliable, but we do not warrant or guarantee the timeliness or accuracy of this information. Nothing on this website should be interpreted to state or imply that past results are an indication of future performance.
Neither we nor our information providers shall be liable for any errors or inaccuracies, regardless of cause, or the lack of timeliness of, or for any delay or interruption in the transmission thereof to the user. THERE ARE NO WARRANTIES, EXPRESSED OR IMPLIED, AS TO ACCURACY, COMPLETENESS, OR RESULTS OBTAINED FROM ANY INFORMATION POSTED ON THIS OR ANY ‘LINKED’ WEBSITE.
Privacy Policy For Vanderbilt Securities, LLC
Pursuant to Title V of the Gramm-Leach-Bliley Act (GLBA) and the U.S. Securities and Exchange Commission’s (SEC) Regulation S-P (17 CFR 248.1-248.30), we are required to notify you of Vanderbilt Securities, LLC’s (VS) Privacy Policy. This disclosure is intended to notify you of the uses we make of the non-public financial and personal information we obtain about you in the course of providing brokerage services for you.
VS is a New York Limited Liability Company with a main office located in Woodbury, New York. We are an introducing securities broker-dealer, with our transactions clearing through another registered broker-dealer, National Financial Services, LLC. You should have received a separate disclosure regarding National Financial Services Privacy Policy. VS is registered with the SEC and a member of the Financial Industry Regulatory Authority (FINRA), and the Securities Investor Protection Corporation (SIPC).
In order to transact securities business on your behalf, we obtain a variety of non-public financial and personal information about you.
In addition, we maintain a record of your securities transactions, which is also non-public. We obtain and maintain records of this information only for the purpose of maintaining the business of being a securities broker-dealer, and in compliance with applicable federal, state, and self-regulatory organization rules.
NO SALE OF YOUR NON-PUBLIC FINANCIAL AND PERSONAL INFORMATION
VS DOES NOT SELL YOUR NON-PUBLIC FINANCIAL OR PERSONAL INFORMATION
NON-PUBLIC FINANCIAL AND PERSONAL INFORMATION COLLECTED
The information collected and maintained by VS in transacting securities information on your behalf includes, or may include, the following types of non-public financial and personal information:
1. Information from you: Information you provide on new account form(s); whether provided in writing, in person, by telephone or facsimile, via electronic communication or any other means; such as your name, telephone number, address, social security number, tax ID number, assets, income, investment objectives, financial situation, employer, age and previous securities experience.
2. Information about your securities and/or other transactions: (a) information VS collects and relates to account(s) balance, payment history, trading activity and any other transactions, which take place through or effect transactions that take place through VS; and (b) information VS collects as part of servicing your account(s).
3. Information about your transactions with non-affiliated third parties: (a) information from non-affiliated third parties pursuant to law, rules, regulations, standard securities industry practice and/or legal process, including documents received, shared, produced or provided in connection with a subpoena, discovery request or other legal process compelling production; and (b) information from non-affiliated third parties related to servicing your account(s).
NON-PUBLIC FINANCIAL AND PERSONAL INFORMATION DISCLOSED TO AFFILIATES AND NON-AFFILIATED
THIRD PARTIES
VS discloses to affiliated and non-affiliated third parties non-public financial and personal information only in connection with the conduct of its securities brokerage business. Such disclosures may include, among other things, information related to transactions, settlement, billing, payment, processing, clearing, transferring, reconciling, collection or tax reporting. Disclosures may be made to affiliates or nonaffiliated third parties: (1) as required or necessary to carry out fully and properly the securities business conducted by VS (e.g. to service providers supplying document processing and delivery, data maintenance or processing services, to National Financial Services, LLC for clearing purposes and to non-affiliated clearing agencies or entities); (2) as required by law or legal process; (3) with your consent; (4) to resolve customer disputes; (5) when requested by a fiduciary or beneficiary on the account; (6) when requested by the client’s attorney(s) or accountant(s); (7) when required by a regulatory agency, or for other reasons required or permitted by law; or (8) in connection with a sale or merger of the firm’s business.
FORMER CUSTOMERS
The same protections for non-public financial and personal information of current customers of VS apply to information regarding former customers: disclosure is made only as permitted/required by law or legal process, or with your consent.
CONFIDENTIALITY AND SECURITY OF NON-PUBLIC FINANCIAL AND PERSONAL INFORMATION
VS is committed to implementing and maintaining commercially reasonable and appropriate measures to maintain the privacy and confidentiality of the non-public financial and personal information we collect and maintain about you. Our procedures for insuring this include, at a minimum, the following:
• Access controls on customer information systems, including controls to authenticate and permit access only to authorized individuals, as well as physical access controls.
• Policies restricting the provision of non-public financial or personal information to anyone other than the customer over the phone.
• Pre-employment screening, including fingerprinting of all employees with responsibilities for or access to non-public financial or personal information.
VS regularly reviews and may revise, or update its privacy policies and systems at any time, in accordance with changes in technology or legal requirements.
OPT-OUT PROVISIONS
Since sharing information under the circumstances noted is necessary to service the client account or mandated by competent authority, VS does not have any opt-out provisions.
SEC REQUIRED REPORT ON ROUTING OF CUSTOMER ORDERS
In compliance with SEC Rule 606 requiring all brokerage firms to make publicly available quarterly reports on the routing of non-directed orders, please access VS’ website at www.vanderbiltsecurities.com under the “SEC Rule 606” section to obtain this information. In addition, upon your request, Vanderbilt Securities, LLC will provide you with the name of the market center or exchange a specific order was routed for execution. The specific order must have been processed within the past six (6) months from the date of your request. Please contact Operations at 631-845-5100.
CUSTOMER COMPLAINTS
Please be advised that any customer complaint can be made in writing and directed to:
Attn: Compliance Department
Vanderbilt Securities, LLC
125 Froehlich Farm Blvd
Woodbury, NY 11797
or by facsimile to the attention of Compliance 631-845-4531.