Notice of Privacy Practices
Pursuant to SEC Regulation S-P, this notice is intended to inform you of our policies regarding the privacy of your personal information.
Shufro, Rose collects nonpublic personal information about you from the following sources:
- Information we receive from you on applications or other forms;
- Information about your transactions with us or others; and
- Information we receive from consumer reporting agencies and/or other identity verification services.
We do not disclose any nonpublic personal information about you to anyone, except as authorized by you or as permitted by law.
If you decide to close your account(s) or become an inactive client, we will adhere to the privacy policies and practices as described in this notice.
Shufro, Rose restricts access to your personal and account information to those employees who need to know that information to provide products or services to you. Shufro, Rose maintains physical, electronic and procedural safeguards to guard your nonpublic personal information.
Shufro, Rose & Co. maintains its own business continuity plan in the event of a natural or man-made disaster. Our computer programs, systems, and client investment records are updated and stored off-site on a daily basis. Also, Fidelity as the broker-dealer for your brokerage account, has its own separate business continuity plan.
Shufro, Rose believes this plan is reasonably designed to enable us to fulfill existing obligations to our customers. You would reach us and/or get access to your funds at our usual telephone number shown on your monthly statement: (212) 754-5100.
In the event that you are unable to contact our firm or your representative through the usual means following a significant business disruption, you may contact Fidelity Investments at (800) 544-6666 for access to your account, including trade and money movement requests. In the event that you are unable to communicate with us directly, Fidelity Investments will be able to give you access to your funds.