Privacy Policy

GlobalVest is dedicated to earning and keeping your trust through unparalleled client care. While information plays a large role in our ability to provide this level of service, protecting the personal and financial information you've entrusted to us, and using it only as you would want us to, is of paramount importance. Here, we share our principles and policies to ensure the privacy of customer information.

Respect governs our actions
We respect the trust you place in us and the confidential nature of the information you provide through your financial relationship with us. All employees are educated in our principles and procedures regarding confidentiality and customer privacy.

Limits to information gathered
We limit the collection and use of customer information to what we believe is useful to service your accounts, respond more accurately and efficiently to your requests or communicate with you about services that may benefit you. The information we collect and maintain about you is not available publicly; it comes primarily from you during the course of your doing business with GlobalVest:

  • Information you provide to us when you fill out account opening documents, complete a form or make a request for services. This includes your name, address, age, Social Security Number, investment objectives, investment experience, assets and income.
  • Information from your transactions with us, such as your account balance, account usage and margin loan history.
  • Information obtained from others, such as credit reporting agencies.

Safeguards to protect information
Access to the information we have about you is strictly limited to the employees who need to know in order to deliver services to you. We have physical, electronic and procedural safeguards in place designed to prevent unauthorized access and fraud. We take steps to keep your information accurate and up-to-date and urge you to notify us of changes and inaccuracies immediately.

Limits to information shared
Information (detailed in “Limits to information gathered” above) may be shared with parties outside GlobalVest Financial when it is required to complete a transaction you have requested or to help us service your account. We are highly selective in choosing these third parties. All companies with whom we do business are contractually obligated to comply with strict standards regarding security and confidentiality, and the information must only be used for the sole purpose of providing the service we have asked the company to perform. Examples include non-financial companies that perform services such as data processing and companies that perform securities execution and clearing services on our behalf.

Information (detailed in “Limits to information gathered” above) also may be shared when we are permitted or required by law. Examples include responding to a subpoena, conducting a fraud investigation or reporting to a credit bureau. We also may share this information when authorized by you.

Privacy includes former customers
We are just as committed to protecting the privacy of our former customers as we are our current customers. If you choose to close your account(s) or become an inactive customer, you will continue to be protected by the privacy policies and principles described here.

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