Other Information
1)
Order
Routing.
Pershing and its affiliate, Pershing trading company, L.P.
(collectively “Pershing”, receive compensation for directing
over the counter (OTC) equity and listed options order flow
to selected market makers and option specialists. Pershing
also directs a percentage of listed equity flow to certain
exchanges or specialists, and receives compensation in connection
with the routing of such orders. See the terms and conditions
section of your statement for a description of Pershing’s
payment for order flow practices. For additional information
regarding order routing practices and the venues to which
Coburn & Meredith’s orders are routed, you may visit www.orderroutingdisclosure.com.
2)
Privacy
Act.
At Coburn & Meredith, Inc., we recognize the importance
of protecting your privacy and we have policies in place to
maintain the confidentiality and security of your personal
information.
Categories
of information that Coburn & Meredith, Inc. collects:
We
collect non public, personal information about you from the
following:
*Information
we receive from you on new account application or other forms
*Information
about your transactions with us, our affiliates.
Categories
of Information That is disclosed to the Clearing Agent
*Information
we receive from you on applications or other forms, such as
your name, address, social security number.
*Information
about your transactions with us, our affiliates, or others,
such as your account balance, payment history, parties to
transactions, and credit card usage.
Categories
of Information that Coburn & Meredith, Inc. discloses
and Parties to whom Coburn & Meredith, Inc. discloses
We
do not disclose any non public information about our customers
or former customers to anyone, except as permitted by law.
Confidentiality
and Security
We
restrict access to non-public, personal information about
you to those employees and agents who need to know that information
in order to provide products or services to you. We
maintain physical, electronic, and procedural safeguards to
protect your non-public, personal information. Privacy
Policy 12-05>
3)
Business
Continuity Plan.
The firm has a Business Continuity Plan that assigns responsibilities
and outlines procedures in the event of a disaster or emergency
which impacts the Firm’s ability to continue conducting business.
The plan designates employees who are responsible for employee
safety and protection of firm property, records, and customer
assets. Please contact us if you would like a copy of
our plan.
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