Notice of Privacy Policy
We at MS Capital Management, L.L.C. are committed to
safeguarding the personal information of our customers. This notice will help you understand how we safeguard and use the information we
collect.
Why and How We Collect Personal Information: We collect information that assists us in servicing your financial needs. This
information helps us provide you with a high standard of customer service, process your transactions, provide products that may interest
you and fulfill legal and regulatory requirements. The personal information we collect includes:
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Information collected on applications and
related forms, for example, name, address, social security number, and annual income. |
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We may also receive information about you from
consumer reporting agencies. |
How We Protect Information: Our employees maintain and
protect the confidentiality of your personal information by utilizing physical, electronic, and procedural safeguards.
Disclosure of Information:
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Non-affiliated third parties - We may
disclose any personal information to or when we believe it necessary for the conduct of our business, or where disclosure is required by
law. For example, personal information may be disclosed for audits, to attorneys or other professionals, or to law enforcement and
regulatory agencies as necessary to protect our property or rights. In addition, we disclose personal information to third party service
providers such as clearing firms to enable them to provide business services for us by performing computer related or data maintenance or
processing services, to facilitate the processing of transactions requested by you, and to assist in offering products and services. Except
in those specific, limited situations, without your consent, we will not make any disclosures of your personal information to other
companies who may want to sell their products or services to you. For example, we do not sell customer lists and we will not sell
your name to a catalogue or any marketing agencies. MS Capital Management, L.L.C.'s policy requires all third parties to sign strict
confidentiality agreements. |
Former Customers: This policy applies to former
customers as well as current customers.
Maintaining Accurate Information: We strive to maintain
complete and accurate information on you and your accounts. We will give you reasonable access to the information we have about you. If you
have a question or concern about your personal information or this privacy policy notice, please contact MS Capital Management,
L.L.C.
Further Information: We reserve the right to change this
Privacy Policy. The examples contained in this Privacy Policy are illustrations and they are not intended to be exclusive. This notice
complies with Federal law and SEC regulations regarding privacy.If you have accounts managed by MS Capital Management, L.L.C., and you would
like a copy of our Form ADV, Part II please fax your request to:
MS Capital Management, L.L.C. Attn: ADV Department at (480) 882-0925
or send a written request to: MS Capital Management, L.L.C., Attn: ADV Department,
2320 E Indianola Avenue, Phoenix, AZ 85016
This notice is being furnished on behalf of MS Capital Management, L.L.C.
Investment Adviser Registered in the state of Arizona
2320 E Indianola Avenue
Phoenix, AZ 85016
(480) 837-8931
Securities offered through Round Hill Securities,
Inc. A registered broker/dealer. Member NASD & SIPC MS Capital Management, L.L.C. is a registered investment adviser in the state of
Arizona. Investment advisory services offered to residents of states in which MS Capital Management, L.L.C. is registered. Neither Round
Hill Securities, Inc. nor Fiserv Securities, Inc. endorses or supports this web site, nor are they affiliated with MS Capital Management,
L.L.C.
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