Privacy Statement

Feldman Securities Group, LLC considers protecting the privacy of the information we receive about our clients, and our clients' clients, to be fundamental to our business relationships. The following policy is designed to help you understand how we protect the information we receive about our clients.

Confidentiality and Security

FSG restricts access to nonpublic, personal information about our clients and their clients to employees and agents (primarily our clearing broker, Mesirow) who need to know that information in order to provide products or services to our clients. We maintain physical, electronic, and procedural safeguards to protect our clients' nonpublic and personal information.

Disclosure of Information

We do not disclose any nonpublic, personal information about our current or former clients to any person or entity, except as permitted or required by law. In the normal course of servicing our clients (i.e. executing and clearing securities transactions) we may share certain necessary information we collect with our clearing broker, Mesirow.

Information Gathered
Nonpublic and personal information that we collect includes:

1. Information provided by our clients about their staff and financial institution
2. Information provided by our clients about their clients, including that gathered in the Investment Questionnaire
3. Information provided by our clients about their clients' investment portfolio(s)
4. Information provided by our clients about their clients' portfolio statements
5. Information gathered in securities trading account opening agreements
6. Information gathered for the purpose of, and during the course of, making securities transactions