• Personal Information We May Collect
During our relationship, Thurston Springer may obtain nonpublic personal information from you. The information we obtain assists the firm and our Financial Advisors in providing you with products and services, and also to satisfy regulatory requirements. This information may be obtained from various sources including:
> Account applications and other forms,
> Your transactions with us or others,
> From written, electronic and verbal correspondence and communication,
> From a consumer reporting agency.
• The Balance of Respecting Your Privacy & Sharing Information with Third Parties
As a matter of policy, Thurston Springer does not disclose personal or account information provided by clients to non-affiliated third parties, except as follows:
• When required or permitted by law, or as necessary for third parties to perform their agreements with respect to services performed on our behalf.
Thurston Springer reserves the right to:
> In limited circumstances, disclose or report personal information to non-affiliated third parties when the firm believes in good faith that disclosure is required under law, and to cooperate with regulators or law enforcement authorities as may be requested.
> Disclose information about client accounts to a non-affiliated third party at the client’s request, or with the consent of the client.
> Disclose personal information that is necessary in providing administrative, custodial, or customer assistance, and in preparing, printing and delivering statements and other client related documents. These companies include clearing firms, mutual fund, annuity and other financial services companies that aid in fulfilling these services to our clients.
> Thurston Springer does not provide information about our clients or former clients to any non-affiliated third party for marketing purposes.
• Opt Out Provision
If your Financial Advisor leaves Thurston Springer to join another broker-dealer that is a member of the Protocol for Broker Recruiting (to which our firm is a signatory), we may permit your advisor to retain certain contact information that may be used by his/her new firm; limited to your name, address, email address, phone number, account title and account type. If you object to such information being retained by your Financial Advisor or shared with his/her new firm, you may opt out by contacting our Compliance Department at 800-433-8049 or emailing Compliance@ThurstonSpringer.com.
• Procedures to Safeguard Private Information
When accessing your account via a link from www.ThurstonSpringer.com using a browser, such as Netscape Navigator or Microsoft Internet Explorer, it is encrypted using Secure Socket Layer (SSL) 128-bit encrypted security. This technology is used to protect the confidentiality of your personal information.