Privacy Policy

Rev. 12/2023

What does Shearman, Ralston Inc. do with your personal information? Here are the facts:

Why do we share any of your personal information?
Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.


What personal information of yours do we share?
The types of personal information we collect and share depend on the product or service you have with us. This information can include:

• Social Security Number, Name, Address and Telephone Number
• Bank Reference and Employment Information
• Credit History and Investment Profile, Time Horizons-Assets, Income and Net Worth

When you are no longer our customer, we continue to share your information as described in this notice.

How do we share such information?

All financial companies need to share Customer’s personal information to run their everyday business. In the section below, we list the reasons financial companies can share their Customer’s personal information; the reasons Shearman, Ralston Inc. chooses to share; and whether you can limit this sharing.

Questions? Call 203-489-3902 or go to shearmanralston.com

Who is providing this notice?

Shearman, Ralston Inc.


How does Shearman, Ralston Inc. protect your personal information?
To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.
Shearman, Ralston Inc. is committed to maintaining appropriate security measures to insure your information is secure and confidential.

How does Shearman, Ralston Inc. collect your personal information?
We collect your personal information, for example, when you

• open an account or deposit funds
• wire/ach funds to your bank

Shearman, Ralston Inc. collects your personal information from a credit history at the time you open(ed) your account.

Why isn't there an option to limit all sharing?
Federal law gives you the right to limit only

• sharing for affiliates’ everyday business purposes - information about your creditworthiness
• affiliates from using your information to market to you
• sharing for non-affiliates to market to you
  

State laws and individual companies may give you additional rights to limit sharing.

Definitions
Affiliates - Companies related by common ownership or control. They can be financial and non-financial companies.

• N/A - Shearman, Ralston Inc. has no affiliate relationships

Non-affiliates - Companies not related by common ownership or control. They can be financial and non-financial companies.

• Shearman, Ralston Inc. only shares non-public personal information with our clearing firm, Apex Clearing Corporation, for purposes of processing your transactions and maintaining your account.

Joint marketing - A formal agreement between non-affiliated financial companies that together market financial products or services to you.

• N/A - Shearman, Ralston Inc. does not have any agreement with a non-affiliated firm, for the purposes of marketing.

Other important information
Shearman, Ralston Inc. does not sell or share your non-public personal information gathered by us, except to our clearing firm, Apex Clearing Corporation, to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus. We do not share information with our clearing firm (Apex) or any other entity for marketing purposes.