This policy is effective as of October 1, 2016
Our commitment to your privacy
· We do not sell customer information;
· We do not share customer information with
outside parties for their marketing purposes;
· We safeguard your customer information as we service your account.
How we protect customer information
1. We follow physical procedures and maintain technology to protect the security of customer information.
· We limit access to customer information to those who have a business reason to know;
· We maintain proper physical security of workplaces and records;
· Our electronic and technological safeguards are designed to protect customer
information and meet or exceed federal and state laws and regulatory standards.
2. We collect and retain customer information to service your account and maintain your customer relationship. In the course of serving you, we collect information about you from a variety of sources, such as:
· Information you provide to us on applications or forms, such as your income, Social Security number and accounts with other financial institutions;
· Information we receive from an outside company, such a credit bureau or customer identification verification service provider or databases maintained by law enforcement, domestic and international regulators and social media;
· Information about your transactions or experiences with us, including with our clearing firm, AXOS Clearing LLC.
3. The customer information we collect is used to service your account and meet your financial needs. Information may be used by Apexus Capital LLC, as well as authorized third parties (described in Section 4 below) for a number of purposes, such as:· To verify your identity and protect your account from unauthorized access or identity theft; For our normal business practices, such as processing your requests for money movement, handling your investment transactions, providing you with transaction confirmations, account statements and tax reporting, and responding to court orders and legal investigations;
· To keep you informed about our financial services of interest to you;· We may disclose all of the information we collect, as described above, within Apexus Capital LLC, our clearing firm (AXOS Clearing LLC) and with administrative companies in conjunction with servicing your account, such as customer identity and background check service providers, prime brokers, custodian banks;
4. We do not share customer information with outside parties for their marketing purposes. We may disclose the information we collect to non-affiliated third parties that are acting on our behalf, or as permitted or required bylaw, including:
· Companies that perform support services, such as identity verification, background checks, clearing firms, data processors, technical systems consultants or check printers;
· Government entities, regulatory entities, courts or other entities (in response to subpoenas or other legal processes), or to those with whom you have requested us to share information.
· We may report information about your accounts to regulatory authorities. Suspicious activities, such as suspected money laundering, fraudulent or illegal activity may be reported to regulatory and/or law enforcement authorities without informing you or without your consent.
5. Your choices for information sharing and marketing by us to you.
· For your convenience, we can share information with your banker, accountant or
tax/legal adviser. You may elect to provide us with authorization to disclose all the information we collect as needed to service your accounts with your bank, accountant, CPA and/or legal adviser;
· Marketing to you. By law, we may use certain information that is derived from your
transactions and experiences with us to market our products and services to you.
We may contact you for marketing purposes by telephone or by mail. If you prefer not to be contacted, you may opt out of our marketing to you. Let us know your preferences. Your elections will apply while you are an active customer until you tell us to change your choice;
· Call us with your marketing preferences at 310-850-3868:
o Opt-out for marketing by telephone;
o Opt-out for marketing by mail.
For joint accounts, any account holder may express a privacy preference on behalf of the other joint account holders. If you have multiple accounts, your privacy preferences will apply to all your accounts;
- Please note that if you choose not to receive solicitations by mail or any other channel, you may continue to receive marketing information about Apexus Capital LLC products or services in regular account mailings and statements or when you visit us online. You may also be contacted to service your account, including to assist in managing your investment portfolio and for maintaining our relationship.
· Do Not Call Policy: This Privacy Policy constitutes Apexus Capital LLC’s Do Not Call Policy under the Telephone Consumer Protection Act for all customers. Apexus Capital LLC maintains an internal Do Not Call
preference list. Do Not Call requests will be honored within 30 days and will be effective for as long as you are an active costumer. No telemarketing calls will be made to residential or cellular phone numbers that appear on the Apexus Capital LLC Do Not Call list.
· If you are an existing customer, and you have already told us your privacy preferences, no action is needed unless you would like to change your preferences.
For more information, contact us at this address:
Apexus Capital LLC
321 19th Street
Santa Monica, CA 90402
or email us at dan@apexuscapital.com
Customer Service
If you have questions about your account or would like more information about Apexus Capital LLC products or services, please call us at 310-850-3868, email us at dan@apexuscapital.com or write us at:
Apexus Capital LLC
321 19th Street
Santa Monica, CA 90402
This document applies
to (1) consumers who have, or have had, a customer relationship or have made an
inquiry or application and (2) individuals who have provided personal
information in connection with business accounts and where the consumer
relationship, inquiry, application, or personal information is provided to
Apexus Capital LLC.
The policies and practices described in this disclosure are
subject to change. We will communicate any significant changes to you as
required by law. The policies and practices described in this disclosure
replace all previous notices or statements regarding this subject.
