We at Brook Capital 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:
Information collected on applications and related forms, for example, name, address, social security number, and annual income.
We may also receive information about you from consumer reporting agencies.
How We Protect Information: Our employees, advisor representatives and their employees maintain and protect the confidentiality of your personal information by utilizing physical, electronic and procedural safeguards.
Disclosure of Information:
Non-affiliated third parties: We may disclose any personal information to or as directed by your advisor representative 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, associates of Brook Capital may be licensed to offer securities through First Allied Securities, Inc. First Allied Securities, Inc. may disclose personal information to third party service providers such as mutual fund companies and clearing firms to enable them to provide business services for First Allied Securities, Inc. 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 company or any marketing agencies. First Allied Securities, Inc.'s policy requires all third parties to sign strict confidentiality agreements.
Affiliates: We may share information described above with our affiliates for business purposes such as servicing customer accounts. Our affiliates are companies under the common control of our parent company and may include companies not involved in financial services.
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 notice, please contact your Western International Securities, Inc. broker or adviser representative.
675 N Barker Rd #200; Brookfield, WI 53045
Tel: 262 784-7205 Fax: 262 784-7206
Securities offered through Western International Securities, Inc. A registered broker/dealer. Member FINRA/SIPC.
Brook Capital is an SEC Registered Investment Advisor. Investment services offered only to residents of states in which Brook Capital is registered.