Privacy Policy
Telsey Advisory Group understands the importance of protecting your privacy. We are honored that you have placed your trust in us and we are committed to safeguarding the privacy of the information we maintain about you. Our policy is designed to explain what information we collect from you, how we use that information and how we protect the nonpublic personal information you have entrusted to us.
Application and registration information We collect information from you when you open an account. The information we collect may include your company’s name, address, phone number, email address, and Tax Identification number, along with a list of authorized traders.
Transaction and experience information Once you have opened an account with us, we maintain information on account transactions and activity for clearing purposes. Telsey Advisory Group LLC is an agency only execution firm.
Third-party information providers We may collect information about you from third-party vendors for verification purposes only. All information will be kept confidential and protected.
Information We Disclose In order to support the financial products and services we provide to you, we may share the personal information described above with third-party service providers and joint marketers not affiliated with us, which includes companies under contract to perform services for us or on our behalf, such as vendors that prepare and mail statements and transaction confirmations or provide data processing, computer software maintenance and development, transaction processing and marketing services. These companies acting on our behalf are required to keep your personal information confidential.
Also, we may disclose personal information with non-affiliated companies and regulatory authorities as permitted or required by applicable law. For example, we may disclose personal information to cooperate with regulatory authorities and law enforcement agencies to comply with subpoenas or other official requests, and as necessary to protect our rights or property. Except as described in this privacy policy, we will not use your personal information for any other purpose unless we describe how such information will be used at the time you disclose it to us or we obtain your permission to do so.
Safeguarding Your Information Telsey Advisory Group LLC maintains physical, electronic, and procedural safeguards that comply with federal standards to guard your non-public personal information. Companies we use to provide support services are not allowed to use information about our clients for their own purposes and are contractually obligated to maintain strict confidentiality. We limit access to your information to those employees who are trained in the proper handling of nonpublic client information and who need access to the information to perform their job functions. This is to ensure full protection of all information you provide to us.
Business ContinuityTelsey Advisory Group LLC has a business continuity plan in place in the event of a serious business disruption. For full disclosure pertaining to the firms BCP, please log onto our website and select the Disclosures/Business Continuity Plan. www.telseygroup.com
Order Execution Rule 606 The Securities and Exchange Commission adopted two rules to improve public disclosure of order execution and routing practices. Under Rule 605, market centers that trade national market system securities will be required to make available to the public monthly electronic reports that include uniform statistical measures of execution quality. Under Rule 606, broker-dealers that route customer orders in equity and option securities will be required to make publicly available quarterly reports that, among other things, identify the venues to which customer orders are routed for execution. In addition, brokerdealers will be required to disclose to customers, on request, the venues to which their individual orders were routed. By making visible the execution quality of the securities markets, the rules are intended to spur more vigorous competition among market participants to provide the best possible prices for investor orders. Telsey Advisory Group LLC makes this information publicly available and is located and may be accessed free of charge on our website at www.telseygroup.com by clicking on "Disclosures" from the home page. Important Information About Procedures for Opening a New Account To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. What this means for you: When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver’s license or other identifying documents