Introduction
Zenith Securities LLC ("Zenith," "we," "us" or "our") respects your privacy. This Privacy Policy explains what personal information we collect, how we use and share it, and how we protect it. It applies to information we collect through our website at https://www.zenithsecuritiesllc.com (the "Website") and in connection with our brokerage and investment banking services. As a registered broker-dealer, Zenith is subject to the Gramm-Leach-Bliley Act and SEC Regulation S-P.
Information We Collect
Depending on how you interact with us, we may collect:
Identification and contact information, such as name, address, email address, telephone number, date of birth, Social Security or tax identification number and government-issued ID.
Financial and suitability information, such as income, net worth, accredited investor status, investment experience and investment objectives.
Transaction information, such as the investments you make or consider, subscription documents and payment or bank account details.
Website information, such as IP address, browser type, pages visited and information collected through cookies and similar technologies.
Professional information, if you are an issuer, business contact or applicant for employment or registration with Zenith, including information required for background checks and regulatory filings.
We collect this information directly from you (for example, through forms, subscription documents and correspondence), automatically when you use the Website, and from third parties such as issuers, service providers, identity verification services and public sources.
How We Use Information
We use personal information to:
provide our services and process transactions you request;
verify your identity and eligibility, including anti-money laundering (AML), know-your-customer (KYC) and accredited investor requirements;
communicate with you and respond to your inquiries;
operate, secure and improve the Website;
comply with legal, regulatory and recordkeeping obligations and respond to requests from regulators; and
protect against fraud and enforce our rights.
How We Share Information
We do not sell or share your personal information with affiliates or unaffiliated third parties for their own use or for marketing. We disclose personal information only where necessary to complete a transaction you have requested (for example, providing your subscription documents to the issuer or its escrow agent), to service providers who support our operations under confidentiality obligations, or as required by law, such as in response to requests from regulators, FINRA, law enforcement or courts.
How We Protect Information
We maintain administrative, technical and physical safeguards designed to protect personal information, including access limited to personnel who need it and oversight of our service providers. We maintain an incident response program, and if sensitive customer information is, or is reasonably likely to have been, accessed or used without authorization, we will notify affected individuals as required by Regulation S-P and applicable state law. No method of transmission over the internet is completely secure, so please do not send sensitive information to us by unencrypted email.
Cookies
The Website uses cookies and similar technologies to operate the site and understand how it is used. You can set your browser to refuse cookies, although some features may not work properly. The Website is hosted by a third-party platform that may also collect usage information under its own privacy policy.
Retention
We keep personal information for as long as needed to provide our services and as required by securities laws and regulations, which generally require broker-dealers to retain records for at least six years.
Your Choices and Rights
You may request access to or correction of your personal information by contacting us. Because we are required to keep certain records by law, we may not be able to delete all information on request. Residents of certain states may have additional rights under state privacy laws; many of these laws do not apply to information we hold under the Gramm-Leach-Bliley Act, but we will respond to requests as required by applicable law. You may opt out of marketing emails at any time by using the unsubscribe link or contacting us.
Children
The Website is not intended for anyone under 18, and we do not knowingly collect personal information from children.
Changes to This Policy
We may update this Privacy Policy from time to time. The updated version will be posted on the Website with a new effective date.
Contact Us
For questions about this Privacy Policy or to make a request, contact: Zenith Securities LLC, Attention: Chief Compliance Officer, 85 Washington Street, 1st Floor, Norwalk, Connecticut 06854; telephone (203) 401-8895; email info@zenithsecuritiesllc.com or our Chief Compliance Officer Alan White at awhite@zenithsecuritiesllc.com