UHLMANN PRICE SECURITIES, LLC provides investment brokerage services by means of its own internal operation and those of its clearing firm and other unaffiliated third-party providers such as mutual funds, limited partnerships, and variable product sponsors. Uhlmann Price Securities acts as an introducing broker to its clearing firm which in turn processes the transactions and acts as the account custodian. All of the above-named parties receive and maintain information about you that is related to and necessary for processing investments in your account.
WHERE DO WE OBTAIN THE INFORMATION? The information that we have comes directly from you. This includes such information as your name, address and Social Security number that you provided on applications, agreements or other forms. In addition, we maintain records of each of your transactions and holdings processed by us.
We also may obtain information about you, such as your credit history or other facts relating to creditworthiness, from a consumer-reporting agency.
TO WHOM DO WE DISCLOSE THE INFORMATION? We provide information about current or former clients from the sources described above to parties outside of this firm only as described below:
CONFIDENTIALITY AND SECURITY. We restrict access to information about you to those employees and authorized agents who need to know that information in order to provide products or services to you. We maintain physical, electronic and procedural safeguards to maintain the confidentiality of your information.
Uhlmann Price Securities, LLC | (800) 444-7075