THIS NOTICE IS FOR YOUR INFORMATION. NO RESPONSE IS REQUIRED.
DAHLMAN ROSE & COMPANY LLC PRIVACY POLICY NOTICE
The Financial Services Modernization Act of 1999 resulted in a number of changes to the financial services industry. In conjunction with these changes, financial institutions are required to tell customers how their personal information is treated. SEC Regulation S-P requires us to provide this statement to you once each year.
Dahlman Rose & Co., LLC does not disclose to third parties non-public account information about current or former customers or clients other than as described below.
Dahlman Rose & Co., LLC and its employees strongly believe in protecting client confidentiality and the security of personal information we collect from you.
Non-public information about you may be disclosed in some cases: to broker-dealers or custodians in order to process transactions on your behalf; to respond to inquiries from you or your representatives; or, to fulfill legal and regulatory requirements. We do not make any disclosures of information to other companies which may want to sell products or services to you.
Our employees are instructed to protect the confidentiality of your information and are required to comply with our established policies.
Dahlman Rose & Co., LLC’s commitment to protecting your privacy has always been our policy. We will continue to safeguard your privacy and the confidentiality of the information you provide to us.
If you have any questions, please do not hesitate to contact your account representative.
