Cohen & Company Securities, LLC (“CCS”), is committed to protecting our clients’ privacy. CCS recognizes that an individual’s financial matters are extremely private and sensitive in nature and we have adopted policies and procedures that enable us to protect your privacy, while at the same time, provide you with high quality financial products and services.
To help you understand how we protect your personal information, this notice describes our current privacy policy and practices. During the continuation of your relationship with CCS we will advise you of our privacy policy and practices annually, as required by law.
Your Privacy Is Not for Sale: At no time under any circumstances will CCS sell your personal information to anyone, for any reason, at any time.
You do not need to take any action as a result of this notice, but you do have certain rights as described below.
How we collect information about you:
We collect information about you, which we may share now or in the future with our service providers. We do this to help us identify you as our customer or our former customer, to process your transactions and requests quickly, to provide investment services to you or tell you about products or services we believe you may want and use.
Information we collect includes:
We do not collect medical or health information in connection with securities business, except in relation to an application for a variable insurance product.
How We Treat Your Information
CCS may share the information described above with our service providers. These providers may require access to information about you to process or service transactions you have requested, to provide efficient customer services, or to inform you of our products or services you may find useful. Our service providers may be affiliated or unaffiliated, and may include financial service providers (for example, third party administrators, broker-dealers, insurance agents and brokers, registered representatives, companies that perform marketing services on our behalf, reinsurers, other financial institutions with whom we have joint marketing agreements) or non-financial companies and individuals (for example, consultants, vendors, and the Medical Information Bureau). Please be assured that we require these service providers to safeguard your personal information and to use or disclose it only for the work they are performing on our behalf, or as permitted by law.
We may provide information to regulatory authorities and law enforcement officials in accordance with applicable law, or to others when we believe in good faith that the law requires it. In the event of a sale of all or part of one of our businesses, we may share customer information related to that business as part of the transaction. CCS does not sell or share your information with marketers outside our company who may want to offer you their own products and services. Nor do we share information we receive about you from a consumer-reporting agency.
Safeguarding Your Information
Keeping your information secure is one of our most important responsibilities. We take precautions to ensure the information we collect about you is protected and is accessed only by authorized individuals or organizations. We maintain physical, electronic and procedural safeguards to protect your information. We restrict access to personal information by our employees. Our employees are trained in privacy and are required to safeguard personal information.
Text Messaging
CCS may communicate with you via text message through the Global Relay texting application for client or colleague communications. Communications may include messages with colleagues and clients. We do not utilize the texting application for marketing efforts, mail blasts or mass communications. You may provide consent to text messages from CCS once the initial text is initiated you will receive a message ie. Hello, ABC Client. My name is Compliance Officer, and I would like to introduce myself as your new point of contact at Cohen & Company Securities, LLC. Nice to e-meet you. You will receive an Opt-In option to select START and the OPT In Message response will contain You are successfully opted in for messages from this number at J.V. B. Financial Group, LLC. Message and data charges may apply. You will also receive an Opt-Out option STOP followed by you have successfully been unsubscribed from this number at Cohen & Company Securities, LLC. Reply START to re-subscribe. Message and data charges may apply.
No mobile Opt-in will be shared with third parties for marketing purposes.
Confidentiality of Medical Information
We understand that you may be especially concerned about the privacy of your medical information. We want to assure you that we do not sell or rent to anyone your personally identifiable medical information, nor do we disclose it to others for marketing purposes. We only use and share personally identifiable medical information for purposes of processing your insurance application, administering your policy or claim, and other purposes permitted by law, such as disclosures to insurance regulatory authorities, or in response to legal process.
Making sure your Information is Accurate
We want to make sure that we have accurate information about you. Generally, upon written request, we will make your personal information available for your review. Information we have collected in connection with or in anticipation of a claim or legal proceeding will not be made available. If you believe that any of our records are inaccurate, you may notify us in writing of any corrections, amendments or deletions that you believe should be made. Questions about accessing or correcting your personal information should be directed to Cohen & Company Securities, LLC, 1400 N Military Trail, Ste 450, Boca Raton, FL 33431 Attn: Compliance Department. Please describe the information you wish to see or corrections required.
