Who is providing this notice?
Leerink Swann LLC
Collection of Data
How does Leerink Swann 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.
How does Leerink Swann collect my personal information?
We collect your personal information, for example, when you:
- Open an account or update your financial information
- Place an order or change your investment objective
- Whenever required by regulation
Sharing of Data
Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.
The types of personal information we collect and share depend on the product or service you have with us. This information can include:
- Social Security number and account number
- Address and telephone number
- Name and address
All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers’ personal information; the reasons Leerink Swann chooses to share; and whether you can limit this sharing.
Reasons we can share:
Do we share?
Can you limit sharing?
For our everyday business purposes — such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus
For our marketing purposes — to offer our products and services to you
For joint marketing with other financial companies
For our affiliates’ everyday business purposes — information about your transactions and experiences
For our affiliates’ everyday business purposes — information about your creditworthiness
For our affiliates to market to you
For non-affiliates to market to you
Why can’t I limit all sharing?
Federal law gives you the right to limit only:
- Sharing for affiliates’ everyday business purposes—information about your creditworthiness
- Affiliates from using your information to market to you
- Sharing for non-affiliates to market to you
State laws and individual companies may give you additional rights to limit sharing.
To limit our sharing:
- Call 800-808-7525 and ask for the Chief Compliance Officer
- Contact us via our online form available here.
- Mail in the form available here.
If you are a new customer, we can begin sharing your information 30 days from the date we sent this notice. When you are no longer our customer, we continue to share your information as described in this notice. However, you can contact us at any time to limit our sharing.
Companies related by common ownership or control. They can be financial and nonfinancial companies.
Companies not related by common ownership or control. They can be financial and nonfinancial companies.
- Financial companies providing services for customers
A formal agreement between nonaffiliated financial companies that together market financial products or services to you.
Other Important Information
This notice applies to both current and former customers. We may change this notice from time to time. If we do, we will notify you as required by applicable law.
Call 800-808-7525 or contact us via our online form available here.