Call (1-800-289-7443) or go to www.wellingtonshields.com
Who is providing this notice?
Wellington Shields & Co., LLC and Wellington Shields Capital Management, wholly owned divisions of Wellington Shields Holdings, LLC.
How does Wellington Shields & Co., LLC protect my 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.
We restrict access to your personal information to only those employees that need to service your accounts.
How does Wellington Shields & Co., LLC collect my personal information?
We collect your personal information, for example, when you:
- Open an account
- Provide account information
- Give us your contact information
- Make deposits or withdrawals from your account
- Make a wire transfer
- Submit identifying information
Why can’t I limit all sharing?
- sharing for affiliates’ everyday business purposes — information about your creditworthiness
- affiliates from using your information to market to you sharing for
- nonaffliates to market to you
State laws and individual companies may give you additional rights to limit sharing.
Companies related by common ownership or control. They can be financial and nonfinancial companies.
Wellington Shields Capital Management
Companies not related by common ownership or control. They can be financial and non-financial companies.
Wellington Shields & Co., LLC does not share with non-affiliates so they can market to you.
A formal agreement between nonaffiliated financial companies that together market financial products or services to you.
Wellington Shields & Co., LLC does not jointly market.
Other important information
Wellington Shields & Co., LLC and Wellington Shields Capital Management, LLC are wholly owned divisions of Wellington Shields Holdings, LLC.
If you have any opt-out questions, please contact our Chief Compliance Officer at (212-320-3000).
Contact Wellington Shields & Co. LLC for more information.