Safeguard Securities, Inc. is committed to protecting the privacy and security of your personal information. This Privacy Policy describes how we collect, use, disclose, and safeguard your data when you use our website, trading platform, and brokerage services.

INFORMATION WE COLLECT

Personal Identification Data: Full legal name, date of birth, Social Security Number (or Tax Identification Number), government-issued identification, residential address, email address, and telephone number as required by federal KYC and AML regulations.

Financial Information: Bank account details, employment and income information, net worth, investment experience, trading history, and tax-related documentation necessary for account opening and regulatory compliance.

Technical Data: IP address, browser type, device identifiers, operating system, access timestamps, and browsing activity on our platform collected through cookies, server logs, and similar technologies.

HOW WE USE YOUR INFORMATION

We process your personal data to: open and maintain brokerage accounts; execute and settle securities transactions; comply with SEC, FINRA, and other regulatory requirements; prevent fraud and unauthorized access; communicate account activity, statements, and regulatory notices; and improve our platform and services.

DATA SHARING & DISCLOSURE

We do not sell your personal information. We may share data with: regulatory bodies (SEC, FINRA, state regulators) as required by law; our clearing firm and custodian for trade execution and settlement; third-party service providers under strict confidentiality agreements; and law enforcement agencies pursuant to valid legal process.

GDPR COMPLIANCE

For clients and visitors in the European Economic Area (EEA), we comply with the General Data Protection Regulation (GDPR). You have the right to: access your personal data; request correction or deletion; restrict or object to processing; receive your data in a portable format; and withdraw consent at any time. Contact our Data Protection Officer at privacy@safeguardsecurities.us.

DATA SECURITY

We implement industry-standard security measures including 256-bit SSL/TLS encryption, multi-factor authentication, intrusion detection systems, and segregated data storage. Our security practices are regularly audited by independent third parties.

DATA RETENTION

We retain personal data for the duration of your account relationship and for a minimum of six (6) years following account closure, as required by SEC Rule 17a-4 and FINRA recordkeeping requirements.

Last Updated: January 2024