As providers of products and services that involve compiling personal and sometimes sensitive information, protecting the confidentiality of information has been, and will continue to be, a top priority at Saxony Securities, Inc (SSI). This brochure explains how SSI handles and protects the personal information we collect and describes our privacy practices for both current and former customers.
We maintain physical, electronic, and procedural safeguards to ensure that your personal information is treated responsibly and authorize only those employees who need that information to provide products or services to you, or to conduct SSI business. Additionally, we safeguard customer information in accordance with applicable data security regulations.
SSI collects information that helps to serve your financial needs, provide high standards of customer service, and fulfill legal and regulatory requirements and may include, but is not limited to information provided on applications and related materials, for example, name, address, social security number, and financial information; and/or information about your transactions with us, our affiliates, or others such as products and services purchased and account balances.
First and foremost, we do not sell lists of our customers, nor do we disclose customer information to marketing companies outside of SSI. We will share customer information only when we are required by law or regulation to disclose information to third parties – for example, in response to a subpoena; to prevent fraud; to comply with rules of, or inquiries from industry regulators. Furthermore, as permitted by federal and state laws, we may share or exchange information with companies and individuals engaged to work with us, such as: Third-party administrators and vendors hired to effect, administer, or enforce a transaction that you request or authorize; Financial service entities, such as banks, insurance companies, or other securities broker-dealers or investment advisers with whom we have joint marketing agreements; Registered representatives assigned to service your account through SSI with whom we have independent contractor agreements.