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Privacy and Security

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Privacy and Security

VSI Privacy Policy

Vestech Securities, Inc. (“VSI”) is committed to protecting the confidentiality of information clients send to us. Regulation SP adopted by the SEC requires that we provide the following information to you.

Information about you that we collect

We collect non-public personal information about you and your transactions from the following sources: your applications or other forms or through our website; your transactions with us, our affiliates, or others.

How we use your information

As permitted by law, we may share information about you with VSI’s affiliated companies, parties that provide other services to us, and certain financial institutions with whom we have joint marketing arrangements. These parties and financial institutions have agreed to treat your information as confidential and not to share such information with other parties. Financial advisors may change brokerage firms and your financial adviser may take your information to the new firm. Otherwise, we do not disclose your non-public personal information except as the law permits. This policy applies to present and former clients’ non-public information.

How we protect your confidential information

VSI has policies that restrict access to your non-public personal information to employees who need the information to provide investment alternatives or services to you. We maintain physical electronic and procedural safeguards to protect your non-public personal information.

Secure E-Mail Communications 

At this time, we do not offer secured e-mail and we recommend that all e-mail, which you submit directly to the firm, or to one of our representatives, not contain any confidential or sensitive information.  Your submission of any e-mail to Vestech Securities, Inc.  or any of our representatives represents your consent for two-way communication via e-mail.  

Customer Identification 

On October 26th of 2001, House Rule #3152 otherwise known as the "Patriot Act” was signed into law.  Among other things, this legislation places on all financial institutions the burden and responsibility of positively identifying all of their customers, and the monitoring of certain types of transactions.  Consequently, new regulations became effective April 24th 2002, for most brokerage and other financial institutions, which mandate certain procedures.  Therefore the firm now requires that each new account submit an acceptable (and current) copy of a government issued photo identification such as a driver’s license or passport upon the opening of any new account or the re-documentation of any existing account, which does not already have identification documentation on file.  Additionally, our clientele should be aware that in this post 9-11 environment and in accordance with the provisions of this act, greater scrutiny may be given to money and security transfers of all sorts.  

Correcting or Updating Your Information 

It is your responsibility to review your financial information (including but not limited to confirms, statements, etc.) and promptly notify the firm of any errors.  If you have concerns about the personal or financial information maintained by Vestech Securities, Inc., it is your responsibility to update that information (perhaps because of a change in your circumstances) by calling Vestech Securities, Inc.  (314.828.2111).  

Annual notification of this policy will be made via client statement that the policy is available via the Internet or upon request, in hard copy.  Should VSI, at any time during the year, change any portion of its privacy policy, such notification shall be made immediately to our clientele.  

It should be noted that Vestech Securities, Inc. does not receive payment for order flow.  

Order Information

Orders must not be sent via e-mail nor should they be left on voicemail or an answering device as there is no assurance of actual or timely delivery.