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At Alliance Financial, LLC ("Alliance") maintaining client trust and confidence is a high
priority. We understand that you are concerned with how we treat nonpublic personal
information ("Client Information") that we obtain from you or from other sources about
you in the course of providing our products and services to you. For this
reason, we want you to understand our privacy policies and your right to opt
out of disclosing certain information.
SECURITY PROCEDURES
Alliance restricts access to Client Information about you to:
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Our employees and affiliates who need to know that information in order
to provide the products and services you receive from us
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Third-party brokers who have introduced you to us ("Introducing Brokers") and
clearing firms such as Broker-Dealers and Futures Commissions Merchants to
whom we may introduce you.
To protect the security of Client Information, we maintain physical, electronic,
and procedural safeguards that comply with federal standards for guarding the
information we collect about you.
INFORMATION WE COLLECT
In providing you with financial products and services, Alliance may
collect the following types of Client Information:
- Information we receive from your Introducing Broker (if any) or from you on
account applications.
- Information about your transactions with us, our affiliates, or others.
- Information we receive from a consumer reporting agency.
- Information regarding your use or experiences at our web sites.
INFORMATION WE DISCLOSE:
We do not disclose any nonpublic personal information about our customer or former
customers to anyone, except as permitted by law. From time to time, we may disclose
all of the information we collect as described above to companies that perform marketing
services on our behalf or to other financial institutions with which we have joint
marketing agreements. However, we prohibit any joint marketing firm from further
sharing your information for any other purpose.
We may also disclose your Client Information to other nonaffiliated third parties as
required by law, such as in response to a subpoena or legal process or in order to
complete a transaction initiated and authorized by you.
RIGHT TO OPT OUT OF INFORMATION SHARING
If you prefer that we not disclose your Client Information to unaffiliated third parties,
you may opt out of those disclosures. That is, you may direct us not to make those
disclosures (other than disclosures permitted by law). If you wish to opt out of
disclosure to nonaffiliated third parties, please confirm your wish to opt out of all information of
your client information in writing by contacting us using one of the two methods listed below:
JOINT ACCOUNT PROCEDURES
Please note that, if your account(s) with us is a joint account, any joint account holder
may elect to opt out for all of the joint account holders
INTRODUCED ACCOUNTS
If Alliance introduces your account to another firm you will be receiving a privacy policy statement directly
from such firm. Their policies and procedures for opting out of disclosure or use of your Customer Information
may be different from ours. If you choose to opt out you must reply to each notice that you receive as set
out in each notice.
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