4135 NW Urbandale Drive,
Brokers Financial collects personal information from you during the account opening procedure. This information includes your name, address, date of birth, employment, marital status, assets, income, tax bracket, social security number, and identification numbers (e.g. driver’s license, passport, or other government issued identification that reflects your residence, photograph, and nationality).
We may also receive information from consumer reporting services or government agencies while verifying your identity or from other information you provided to purchase a particular product.
Federal law requires financial institutions, which include broker-dealers and Registered Investment Advisers, to obtain, verify, and maintain information for each person or entity that opens an account. Brokers Financial may not be able to open an account for you if we cannot verify your identity.
To protect your personal information, we have security processes in place to comply with applicable federal standards. This includes physical safeguards (e.g. locked files and secured building) and electronic safeguards (e.g. encrypted computers, strong passwords, and restricted access).
Brokers Financial also trains its employees and representatives on the proper handling of personal information, the confidentiality of personal information, and their duty to take reasonable steps to safeguard it.
You have the right to limit some but not all sharing. Below is a table with common situations where your personal information might be shared, can we share, and can you limit the sharing.