Privacy Policy

Investment advisers are required by law to inform their clients of their policies regarding privacy of clients information.  Federal law gives customers the right to limit some but not all sharing of personal information.  It also requires us to tell you how we collect, share, and protect your personal information.  Please read this notice carefully to understand Sootchy Securities’ privacy policy.

Types of Nonpublic Personal Information (NPI) We Collect

Sootchy Securities, LLC, collects nonpublic personal information about you that is either provided to us by you or obtained by us with your authorization.  This can include but is not limited to your Social Security/Tax ID Number, Dates of Birth, Banking Information, Financial Account Numbers and/or Balances, Sources of Income, and Credit Card Numbers or Information.  When you are no longer our client, we may continue to share your information only as described in this notice.

Parties To Whom We Disclose Information

All investment advisers may need to share personal information in over to run their everyday business.  In this section, we list the reason that we may share your non-public personal information:

Everyday Business Purposes

Sootchy Securities and its Affiliates will share your NPI with Non-affiliated third parties so that we may provide our services, maintain business operations, and comply with legal/regulatory requirements.  The purposes for such disclosures may include but are not limited to:

  • Auditing of account information
  • Fulfilling requests from you or your authorized representatives
  • Maintaining accurate books and records.

  • Marketing Purposes

    Sootchy Securities may share your NPI with affiliated entities and non-affiliated third-parties in order to offer additional products and services to you.

    Clients may opt out of sharing information for joint marketing to other financial companies, to Affiliates, and to Non-Affiliates.  If you are a new client, we may begin sharing your information on the day you sign our agreement.  When you are no longer our customer, we may continue to share your information as described in this notice.  You can contact us as XXXX at any time to limit our sharing.

    Protecting The Confidentiality Of Current And Former Client’s Information

    To protect your personal information from unauthorized access and use, Sootchy Securities uses security measure that comply with federal law such as: restricting access to only employees who required access to your information, implementing computer and software safeguards, deleting information after it is no longer required, and maintaining secured physical storage areas.

    Federal Law Gives You The Right to Limit Sharing – Opting Out

    Federal law allows you the right to limit the sharing of your NPI by “opting-out” of the following: sharing of information related to your creditworthiness with Non-affiliates for any purposes and sharing of your information so Affiliate and Non-affiliate marketing purposes.  State laws and individual companies my give you additional right to limit sharing.  Please notify Sootchy Securities immediately if you choose to opt out of these types of sharing.



    Companies related by common ownership or control.  


    Companies not related by common ownership or control

    Joint Marketing:

    Formal agreement between non-affiliated companies that together market financial products or services to you.

    Privacy Policy
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