PRIVACY STATEMENT OF VNTR Securities LLC
The confidentiality of client information is an important concern of VNTR Securities LLC (“The
Firm”). The Firm takes precautions to safeguard personal client information at all times and we
will remain vigilant in protecting that information. The provisions of this privacy notice will
apply to former clients as well as current clients.
The Firm collects personal information about you that is necessary to provide financial products
or services. We may obtain this information from the following sources:
- Information that the Firm receives from you on account applications, forms and other
materials that you provide to us, whether in writing, in person, by telephone or by any
other means. This information may include your name, address, telephone number, social
security number, occupation, assets and income.
- Information about your transactions with us or a non-affiliated third party such as account
balances, payment history and account activity.
- Information we receive from a consumer-reporting agency, such as your credit bureau
reports and other information relating to your creditworthiness.
The Firm will only disclose certain information about you, as permitted by law, under the
following circumstances: Where we believe, in good faith that disclosure is required under law to
cooperate with regulators or law enforcement authorities or to consumer reporting agencies. The
Firm may disclose certain information with its affiliates to provide you with other services. Our
affiliates, in turn are required to protect the confidentiality and security of any information we
give to them and may not reuse it for any other purpose. The Firm may disclose certain
information to our service providers to help us process your application or service your accounts.
These service providers, in turn are required to protect the confidentiality and security of any
information we give to them and may not reuse it for any other purpose.
The Firm restricts access of your personal accounts(s) and information to those employees who
require access to that information in order to provide products or services to you. We maintain
physical, electronic and procedural safeguards that comply with the industry standards to
safeguard your nonpublic personal information. Third parties who have access to such personal
information must agree to follow appropriate standards of security and confidentiality.
Should you have any additional questions or wish to opt out of any of these provisions, please
contact our compliance department at:
VNTR Securities LLC
152 Madison Avenue, 7th Floor
New York, NY 10016
Notice to Clients
Important Information You Need to Know About Opening a New Account:
To help the government fight the funding of terrorism and money laundering activities, federal
law requires financial institutions to obtain, verify, and record information that identifies each
person who opens an account.
This Notice answers some questions about your firm’s Customer Identification Program.
What types of information will I need to provide?
When you open an account, your firm is required to collect information such as the following
- Date of birth
- Identification number:
- US Citizen: taxpayer identification number (social security number or employer
- Non-U.S. Citizen: taxpayer identification number, passport number, and country of
issuance, alien identification card number, or government-issued identification showing
nationality, residence, and a photograph of yourself.
- You may also need to show your driver’s license or other identifying documents.
- A corporation, partnership, trust or other legal entity may need to provide other
information, such as its principal place of business, local office, employer identification
number, certified articles of incorporation, government-issued business license, a
partnership agreement, or a trust agreement.
U.S. Department of the Treasury, Securities and Exchange Commission, FINRA, and the New
York Stock Exchange rules already require you to provide most of this information. These rules
also may require you to provide additional information, such as your net worth, annual income,
occupation, employment information, investment experience and objectives, and risk tolerance.
What happens if I don’t provide the information requested or my identity can’t be
Your firm may not be able to open an account or carry out transactions for you. If your firm has
already opened an account for you, they may have to close it.
We thank you for your patience and hope that you will support the financial industry’s efforts to
deny terrorists and money launderers access to America’s financial system.