Bull Markets Securities, Inc (BMS) DOES NOT SELL YOUR NONPUBLIC PERSONAL INFORMATION
In conducting its business, BMS collects (or may collect), for example, the following types of nonpublic personal information:
- Information about you: (1) information you provide in connection with securities account, margin loan, debit card or any other financial product or service, whether in writing, in person, by telephone, electronically or by any other means, such as your name, address, social security number, tax ID number, assets, income, investment objectives, financial situation and debt; and (2) information BMS obtains (or may obtain) for the purpose of tax reporting to you and to various agencies to which BMS reports as required by law, including disclosures on various Internal Revenue Service (IRS) forms that BMS and/or its clearing firm collects for tax reporting purposes.
- Information about your securities and/or other transactions: (1) information BMS collects and relates to account balance, payment history, trading activity and any other transactions concerning which BMS provides brokerage services; (2) information BMS collects as part of servicing your account(s), as a BD; and (3) information BMS does not collect through an internet “cookie“?. Users are responsible for taking the necessary and opportune security measures to protect their equipment, data and files against viruses or other destructive properties.
- Information about your transactions with nonaffiliated third parties: (1) information from nonaffiliated third parties pursuant to law, rules, regulations, standard securities industry practice and/or legal process, including information and/or documents received, shared, produced or provided in connection with a subpoena, discovery request or other legal process compelling production; and (2) information from non-affiliated third parties related to servicing your account for purposes of providing securities BD services.
- Information from a consumer reporting agency: (1) information from a consumer reporting agency regarding your creditworthiness or credit history or other information with regards to margin lending or other financial transactions; (2) information about the fact that you are a customer of BMS; and (3) information from other outside sources regarding their employment of, credit to or other relationship with you, or verifying representations made by you, such as your employment history, loan or credit card balances.
NONPUBLIC PERSONAL INFORMATION DISCLOSED TO AFFILIATES AND NONAFFILIATED THIRD PARTIES
BMS discloses to its affiliates and nonaffiliated third parties nonpublic personal information only in connection with BMS providing financial services. Such disclosures include, among other things, information related to transactions, settlement, billing and payment. Such disclosures may be provided to affiliates and nonaffiliated third parties:
- As required or necessary to carry out fully and properly the securities business of BMS (such as, for example, disclosures to affiliated and nonaffiliated third party service providers supplying to BMS computer related, document processing and delivery, and data maintenance or processing services, and disclosures to nonaffiliated third parties such as clearing agencies and entities);
- As required by law or legal process; or with your consent.
BMS will disclose nonpublic personal information about the former customers of DJSI only as permitted and/or required by law or legal process, or with your consent.
CONFIDENTIALITY AND SECURITY OF NONPUBLIC PERSONAL INFORMATION
BMS is committed to implementing and maintaining commercially reasonable and appropriate measures to maintain your nonpublic personal information in a secure and confidential fashion. BMS’s information and security procedures include, but are not limited to, the following features:
- Access controls on customer information systems, including controls to authenticate and permit access only to authorized individuals and controls to prevent BMS employees from providing nonpublic information to unauthorized individuals who may seek to obtain this information through fraudulent means.
- Physical access restrictions at locations containing nonpublic personal information.
- Stringent pre-employment screening, including fingerprinting, and segregation of duties for BMS employees with responsibilities for or access to nonpublic information.