Privacy Policy

 

Pursuant to Title V of the Gramm-Leach-Bliley Act and United States Securities and Exchange Commission ("SEC") Regulation S-P (17 CFR 248.1-248.30), this document sets forth the Privacy Policy of ViewTrade Securities, Inc., (VTS) concerning the privacy interests of individual consumers and customer's (described below and hereinafter referred to as "customers") of financial services. VTS is a securities Broker Dealer registered with the SEC. Among its other securities related memberships and associations, VTS is a member of the National Association of Security Dealers, Inc. (NASD).

VTS's principal business is to act as a fully disclosed securities Broker Dealer (BD) in accordance with all laws, rules and regulations applicable to a securities BD and the business conducted by a securities BD. As a BD VTS's principal business is to facilitate execution of orders received both on a solicited and unsolicited basis for both its institutional and non-institutional clients. VTS has a clearing agreement with Penson Financial Services, Incorporated, who provides certain limited and defined "back office" securities clearing, custodial and processing services.

In its capacity as a securities BD, VTS receives and/or comes into contact with certain nonpublic personal information concerning its current and/or former customers, including but not limited to certain non public personal information related to the securities account(s) that said customers open and/or maintain with VTS. Any and all such nonpublic personal information related to such customers and/or such customers' securities account(s) is hereinafter referred to as "nonpublic personal information". VTS receives and/or comes into contact with the nonpublic personal information only for purposes of conducting its business as described above. For convenience herein, "you" or "your" refers to any and all customer(s) described above.

NO SALE OF YOUR NONPUBLIC PERSONAL INFORMATION. VTS DOES NOT SELL YOUR NONPUBLIC PERSONAL INFORMATION. NONPUBLIC PERSONAL INFORMATION COLLECTED.

In conducting its business as described above, VTS collects (or may collect), for example, the following types of nonpublic personal information:

A. Information about you: (1) information you provide in connection with securities account, margin loan, debit card or any other financial product or service, whether in writing, in person, by telephone, electronically or by any other means, such as your name, address, social security number, tax ID number, assets, income, investment objectives, financial situation and debt; and (2) information VTS obtains (or may obtain) for the purpose of tax reporting to you and to various agencies to which VTS reports as required by law, including disclosures on various Internal Revenue Service (IRS) forms that VTS and/or its clearing firm collects for tax reporting purposes.

Information about your securities and/or other transactions: (1) information VTS collects and relates to account balance, payment history, trading activity and any other transactions concerning which VTS provides brokerage services; (2) information VTS collects as part of servicing your account(s), as a BD; and (3) information VTS may collects through an internet "cookie" (an information collecting device from a web server).

A. Information about your transactions with nonaffiliated third parties: (1) information from nonaffiliated third parties pursuant to law, rules, regulations, standard securities industry practice and/or legal process, including information and/or documents received, shared, produced or provided in connection with a subpoena, discovery request or other legal process compelling production; and (2) information from non affiliated third parties related to servicing your account for purposes of providing securities BD services.

B. Information from a consumer reporting agency: (1) information from a consumer reporting agency regarding your creditworthiness or credit history or other information with regards to margin lending or other financial transactions; (2) information about the fact that you are a customer of VTS; and (3) information from other outside sources regarding their employment of, credit to or other relationship with you, or verifying representations made by you, such as your employment history, loan or credit card balances.

NONPUBLIC PERSONAL INFORMATION DISCLOSED TO AFFILIATES AND NONAFFILIATED THIRD PARTIES.
VTS discloses to its affiliates and nonaffiliated third parties nonpublic personal information only in connection with VTS providing securities BD services. Such disclosures include, among other things, information related to transactions, settlement, billing and payment. Such disclosures may be provided to affiliates and nonaffiliated third parties: (i) as required or necessary to carry out fully and properly the securities business of VTS (such as, for example, disclosures to affiliated and nonaffiliated third party service providers supplying to VTS computer related, document processing and delivery, and data maintenance or processing services, and disclosures to nonaffiliated third parties such as clearing agencies and entities); (ii) as required by law or legal process; or (iii) with your consent.

FORMER CUSTOMERS
VTS will disclose nonpublic personal information about the former customers of VTS only as permitted and/or required by law or legal process, or with your consent.

CONFIDENTIALITY AND SECURITY OF NONPUBLIC PERSONAL INFORMATION
VTS is committed to implementing and maintaining commercially reasonable and appropriate measures to maintain your nonpublic personal information in a secure and confidential fashion. VTS's information and security procedures include. But are not limited to the following features;

  • Access controls on customer information systems, including controls to authenticate and permit access only to authorized individuals and controls to prevent VTS employees from providing nonpublic information to unauthorized individuals who may seek to obtain this information through fraudulent means.
  • Physical access restrictions at locations containing nonpublic personal information
  • Stringent pre-employment screening, including fingerprinting, and segregation of duties for VTS employees with responsibilities for or access to nonpublic information.

VTS regularly reviews, revises and updates its information security program to account for changes in technology.

VTS reserves the right to change this Privacy Policy at anytime.

 

 

 


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AutoShares Disclaimers
* Third-Party Publishers, Software Developers, and AutoShares are unaffiliated companies and are not responsible for each other's products and services.
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* SEC, FINRA, TAF Regulatory and Exchange Fees are debited to customer account for Stock Trades.
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No Recommendations or Investment Advice

Under no circumstances should any information or materials presented on this Site be used or construed as an offer to sell, or a solicitation of an offer to buy, any securities, financial instruments, investments or other services. AutoShares does not provide recommendations or offer investment advice of any kind. You are solely responsible for evaluating the merits and risks associated with the use of any content provided through the Service (generated by our users, third-party providers, or other third-party web sites or services) before making any decisions based on such content. You agree not to hold AutoShares or its third-party providers liable for any possible claim for damages arising from any decision you make based on the content or other information made available to you through the Service or third-party provider websites. Past performance data should not be construed as indicative of future results.

Indemnification

You agree to defend, indemnify and hold harmless AutoShares and its licensee and licensors, and their employees, contractors, agents, officers, and directors, from and against any and all claims, damages, obligations, losses, liabilities, costs or debt, and expenses (including but not limited to attorney's fees), resulting from or arising out of a) your use and access of the Service, by you or any person using your account and password; b) a breach of these Terms or c) Content posted on the Service.

Limitation of Liability

In no event shall AutoShares nor its directors, employees, partners, agents, suppliers, or affiliates, be liable for any indirect, incidental, special, consequential or punitive damages, including without limitation, loss of profits, data, use, goodwill, or other intangible losses, resulting from (i) your access to or use of or inability to access or use the Service; (ii) any conduct or content of any third party on the Service; (iii) any content obtained from the Service; and (iv) unauthorized access, use or alteration of your transmissions or content, whether based on warranty, contract, tort (including negligence) or any other legal theory, whether or not we have been informed of the possibility of such damage, and even if a remedy set forth herein is found to have failed of its essential purpose.

Disclaimer

Service is provided on an "AS IS" and "AS AVAILABLE" basis. The Service is provided without warranties of any kind, whether express or implied, including, but not limited to, implied warranties of merchantability, fitness for a particular purpose, non-infringement or course of performance. AutoShares - its subsidiaries, affiliates, and its licensors do not warrant that a) the Service will function uninterrupted, secure or available at any particular time or location; b) any errors or defects will be corrected; c) the Service is free of viruses or other harmful components, or d) the results of using the Service will meet your requirements.

Terms of Service

You acknowledge and agree that AutoShares is executing your unsolicited trade transactions as your agent, at your request, and not as the agent of or on behalf of the third party. 

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AutoShares does not recommend or endorse any investment instruments or trading strategy. The material on this website is provided for informational and educational purposes only and shall not in any manner be considered a recommendation or endorsement of any strategy or investment.No content published by a publisher as part of trade alerts constitutes a recommendation or that any particular investment, security, portfolio of securities, transaction or investment strategy is suitable for any specific person. Neither a publisher or AutoShares will advise you personally concerning the nature, potential, value or suitability of any particular investment, security, portfolio of securities, transaction, or investment strategy. Accordingly, do not attempt to contact publishers or AutoShares for guidance or for seeking personalized investment advice, which they cannot provide. To the extent any of the content published as part of the Services may be deemed to be investment advice, such information is impersonal and not tailored to the investment needs of any specific person. Any opinion, recommendation or alert of any independent third-party provider is the sole opinion of the publisher and does not express the opinion of AutoShares. Any investment decision and/or strategy that you make or utilize, whether or not such decision or strategy derives from or relies upon material accessed or provided through this website, is done so at your sole discretion and your own risk. Please consult additional sources of information and/or your legal or tax advisor.

System response, trade executions and account access may be affected by market conditions, system performance, quote delays and other factors. The risk of loss in electronic trading can be substantial. You should therefore consider whether such trading is suitable for you in light of your financial resources and circumstances. * Commission rates are negotiated. You may qualify for rates shown based on your activity. Other fees and conditions may apply, please see our commissions and routing fees.

For business development and branch opportunities Contact Us or call 1-800-847-8495. AutoShares® is a Division of ViewTrade Securities, Members FINRA and SIPCFINRA Brokercheck for Viewtrade Securities As a member of the Securities Investor Protection Corporation (SIPC), funds are available to meet customer claims up to a ceiling of $500,000, including a maximum of $250,000 for cash claims. For additional information regarding SIPC coverage, including a brochure, please contact SIPC at (202) 371-8300 or visit www.sipc.org. Our Clearing firm has purchased an additional insurance policy through a group of London Underwriters (with Lloyd's of London Syndicates as the Lead Underwriter) to supplement SIPC protection. This additional insurance policy becomes available to customers in the event that SIPC limits are exhausted and provides protection for securities and cash up to an aggregate of $600 million. This is provided to pay amounts in addition to those returned in a SIPC liquidation. This additional insurance policy is limited to a combined return to any customer from a Trustee, SIPC and London Underwriters of $150 million, including cash of up to $2.15 million. Similar to SIPC protection, this additional insurance does not protect against a loss in the market value of securities.


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