Privacy Policy

Protecting the confidentiality of your nonpublic personal information is of paramount importance to Pershing. As such, Pershing maintains high industry standards in protecting and safeguarding such non-public personal information.

To what does this Online Privacy Statement apply?
This Online Privacy Statement applies to the personal information that we collect from or about you via this Pershing Web site (this "Site"). This Site may contain links to other Web sites, and this Online Privacy Statement does not apply to those sites. If you link to any of those sites, we recommend that you review their privacy policies. If we materially change our privacy policies or practices, we will also change this Online Privacy Statement to notify you of such changes.

What personal and technical information do we collect via this Site?
This Site will collect personal information that you voluntarily provide, such as your name, address, telephone number or e-mail address. This Site may collect information on what country you are accessing this Site from; information on which pages within this Site you visit; and certain technical information regarding your computer and operating systems, such as your Internet protocol address, domain name and system configurations and settings. We will not know who you are unless you tell us. Additionally, if this Site is a password-protected site, then (a) once you submit your password and enter, this Site will recognize who you are and will collect all information that you submit, including all electronic instructions (including all transaction information), and (b) any information collected about you from this Site may be associated with other identifying information that we have about you.

On this Site, Pershing may use "cookies" in order to provide better service, to facilitate its customers’ use of the web site, to track usage of the web site, and to address security hazards. A cookie is a small piece of information that a web site stores on a personal computer, and which it can later retrieve. Pershing may use cookies for some administrative purposes; for example, to store its customers’ preferences for certain kinds of information. None will contain information that will enable anyone to contact its customers via telephone, e-mail, or any other means. You can set your Web browser to prompt you before you accept a cookie, accept cookies automatically, or reject all cookies. However, if you choose not to accept cookies from this Site, then you may not be able to access and use all or part of this Site or benefit from the information and services which it offers.

How does Pershing use, share and secure the information collected via this Site?

Pershing uses the information collected via this Site in accordance with our Privacy Policy, as stated below:

  • Pershing collects nonpublic personal information from the following sources:
    • Applications, forms or other communications, including electronic communications (such as name, address, e-mail address, phone number, Social Security number, assets, and income)
    • Transactions with Pershing, their financial organizations, or others
    • Non-affiliated third parties, such as consumer or credit reporting agencies (such as credit worthiness and credit history), joint marketing partners, or other entities who may service your account from time to time
    • Visits to our Web sites
  • Pershing may use personal information in order to operate our business in a prudent manner in accordance with industry standards and applicable law, which may include to service and maintain accounts and transactions; offer a broad range of services and products; to verify income and assets; respond to inquiries and requests; prevent fraud; monitor and archive communications; and to verify your identity in accordance with USA Patriot Act.
  • Pershing may disclose or share nonpublic personal information about its customers to its affiliates, such as banks, investments managers, mortgage lenders, technology service providers and securities broker-dealers, in order for its affiliates to provide and service accounts and transactions, such as data processing, loan servicing. This may, where permitted by local law, including archiving your personal information in a jurisdiction other than your own, which may not have equivalent data protection laws.
  • Pershing may also share personal information with government agencies, exchanges, or other self regulatory organizations and law enforcement authorities as required or permitted by law, rule or regulation.
  • Pershing does not sell or rent personal information. Pershing may disclose or share personal information about its customers to nonaffiliated third parties with whom it has contracted to perform services on its behalf, such as printing, mailing, fraud prevention, technology providers, and processing services, as well as your nonaffiliated financial organization, which has a clearing agreement with Pershing. These nonaffiliated third parties are required to protect the confidentiality and security of this information and use it only in accordance as contractually agreed upon or instructed by Pershing. Pershing may also disclose nonpublic personal information about its customers as permitted or required by law.
  • Pershing does not disclose nonpublic personal information about former customers, except as permitted or required by law.

How does Pershing protect your personal information?

  • Internal data security policies restrict access to nonpublic personal information to authorized associates. Pershing maintains physical, electronic, and procedural safeguards that are designed to comply with federal standards to guard nonpublic personal information. Associates who violate these polices are subject to disciplinary action, up to and including termination.
  • Pershing trains and educates our employees in the handling and safeguarding of personal information in accordance with applicable laws, rules, and regulations.