Privacy Policy
Your Privacy is a Priority For Us
We are committed to safeguarding your nonpublic information. This notice describes the information we gather and the circumstances under which we may share it. Our clearing firm, Goldman Sachs execution & Clearing, has an additional separate privacy policy which explains its practices.
Why and How We Gather Information
As part of providing you with financial services or products, we may obtain information about you from the following sources:
• Applications, forms and other information that you provide to us, whether in writing, in person, by telephone, electronically, by the internet or by any other means. This information may include your name, address, income and tax identification number.
• Your transactions with us. This information may include your account balances and account activities.
• Reporting agencies. This may include information about your credit-worthiness.
• Other third parties including public sources. This information may include addresses, telephone numbers and e-mail addresses.
Sharing Information Outside Our Company
We may provide information about you as permitted or required by law to third parties outside of our company without your consent. Examples may include:
• To execute and settle transactions in your account;
• To respond to a subpoena or court order, judicial process or regulatory authorities;
• To reporting agencies;
• To protect against fraud.
We do not sell or license information about our customers to third parties nor do we sell our customer e-mail addresses to third party marketers.
In addition, we may provide information about you to our service providers to help us service your accounts. These service providers may include companies which help issue your statements or transaction confirmations, our attorneys or other professionals. The information provided to these service providers may include the categories of information under “Why and How We Gather Information”, limited to only that information which we deem appropriate for these service providers to carry out their functions.
Our Former Customers
Even if you are no longer a customer, our Privacy Policy will continue to apply to you.
Our Security Practices and Information Accuracy
We also take steps to safeguard customer information. We restrict access to the account information of our customers to those employees we determine need to know that information in the course of their job responsibilities. We maintain physical, electronic and procedural safeguards that comply with federal standards to protect customer information. We also have internal controls to keep customer information as accurate and complete as we can. If you believe that any information about you is inaccurate please advise us.
Other Information
We reserve the right to change this Privacy Policy, and any of the polices described above, at any time. The examples contained within this Privacy Policy are illustrations; they are not intended to be exclusive.
Questions
Please contact us at 212-422-1750.
Customer Identification Program Notice
Important Information About Opening New Accounts
In compliance with the USA PATRIOT ACT and other applicable laws, rules or regulations, we are required to obtain, verify and record information that identifies each customer who opens an account.
When you open an account, we will ask for your name, address, date of birth (for individuals), identification number and other information that will allow us to identify you. We may also ask you to provide copies of identifying documents (e.g., driver’s license) or documents of formation or existence (e.g., articles of incorporation, licenses, employer identification number), as applicable. We may be required to disclose this information pursuant to applicable laws, rules or regulations, but it will otherwise be retained in confidence according to our Privacy Policy.
Disclaimer
All electronic communications transmitted to or from Saratoga Capital, LLC are archived in accordance with regulatory requirements and are subject to review and retrieval and may be disclosed to parties other than the intended recipient.
The material on this website has been prepared by Saratoga Capital, LLC, a U.S. registered broker dealer. This material is provided for informational purposes only and is not an offer or solicitation of any investments or investment services.