Compliance

Privacy

McCafferty & Company, LLC – a registered broker-dealer seeks to maintain the highest standards of confidentiality to safeguard the privacy of our clients (each, a “Client”). We are providing this Privacy Notice to all our Clients who obtain financial services or products from us, in accordance with Title V of the Gramm-Leach-Bliley Act of 1999 and its implementing regulations.

Information About Individuals Associated with a Client

The non-public personal information we may retain about any individual associated with you (“Information”) comes primarily from any engagement agreements, due diligence, e-mails, or other documents that a Client may submit to us. We may also internally record Information about Client experiences with us, our affiliates, and others relating to the services or products we provide.

Our Privacy Policies

We do not disclose Information to anyone, except as permitted by law. Thus, we may share Information (a) with our affiliates, in order to bring a Client the full range of services and products available from McCafferty & Company, LLC and (b) with non-affiliated companies, in order to process Client transactions with us or our affiliates or to perform other support services for your account. Additionally, we may disclose Information if a Client gives its specific consent or instruction to us, or if the disclosure is required by law or regulations. Our privacy policy applies to current and former Clients, as well as potential Clients.

Our Internal Information Security

We limit access to Information to those of our staff and service providers who are involved in offering or administering the services and products that we offer. We maintain physical, electronic, and procedural safeguards designed to comply with federal standards to protect Information. We value our relationship with each Client and want to assure you that maintaining each Client’s privacy is important to us. If you have any question, please call Colin McCafferty, CEO and CCO of McCafferty & Company at (310) 551-4040.

Disclosure Notification

Important Information You Need to Know about Opening a New Account

To help the government fight the funding of terrorism and money laundering activities, federal law requires financial institutions to obtain, verify and record information that identifies each person who opens an account.

This notice answers some questions about McCafferty & Company’s Customer Identification Program.

What types of information will you have to provide?

At the time you open an account with us, we are required to collect information such as the following from you:

  • Your name
  • Your date of birth
  • Your address
  • An identification number
  • U.S. Citizen: taxpayer identification number (social security number or employer identification number)
  • Non-U.S. Citizen: taxpayer identification number, passport number and country of issuance, alien identification number or government-issued identification showing nationality, residence and a photograph of you.

You may also need to show your driver’s license or other identifying documents.

A corporation, partnership, trust or other legal entity may need to provide other information such as its principal place of business, local office, employee identification number, certified articles of incorporation, government-issued business license, a partnership agreement or a trust agreement.

U.S. Department of the Treasury , Securities and Exchange Commission, FINRA and New York Stock Exchange rules already require you to provide most of this information. These rules also may require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance.What happens if I don’t provide the information requested or my identity cannot be verified? We may not be able to open an account or carry out transactions for you. If we have already opened an account for you, we may have to close it.

WE THANK YOU FOR YOUR PATIENCE AND HOPE THAT YOU WILL SUPPORT OUR EFFORTS TO DENY TERRORISTS AND MONEY LAUNDERERS ACCESS TO AMERICA’S FINANCIAL SYSTEM.