FACTS
What Does Regal Securities do with Your Personal Information?
Why?
Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.
What?
The types of personal information we collect and share depend on the product or service you have with us. This information can include:
- Social Security Number and income
- Assets and investment experience
- Account balance and transaction history
When you are no longer our customer, we continue to share your information as described in this notice.
How?
All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers’ personal information; the reasons Regal Securities chooses to share; and whether you can limit this sharing.
Reasons we can share your personal information
For our everyday business purposes – such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus
Does Regal Securities share? Yes
Can you limit this sharing? No
For our marketing purposes – to offer products and services to you
Does Regal Securities share? Yes
Can you limit this sharing? No
For joint marketing with other financial companies
Does Regal Securities share? No
Can you limit this sharing? We do not share
For our affiliate’s everyday business purposes – information about your transactions and experiences
Does Regal Securities share? Yes
Can you limit this sharing? No
For our affiliate’s everyday business purposes – information about your creditworthiness
Does Regal Securities share? No
Can you limit this sharing? We do not share
For our affiliates to market to you
Does Regal Securities share? Yes
Can you limit this sharing? Yes
For nonaffiliates to market to you
Does Regal Securities share? No
Can you limit this sharing? We do not share
Reasons we can share your personal information
Does Regal Securities share?
Can you limit this sharing?
For our everyday business purposes – such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus
Yes
No
For our marketing purposes – to offer products and services to you
Yes
No
For joint marketing with other financial companies
No
We do not share
For our affiliate’s everyday business purposes – information about your transactions and experiences
Yes
No
For our affiliate’s everyday business purposes – information about your creditworthiness
No
We do not share
For our affiliates to market to you
Yes
Yes
For nonaffiliates to market to you
No
We do not share
To limit your sharing
- Call 1-877-488-6534 ext. 3 for Relationship Management
- Email Relationship Management at rm@regalsecurities.com
- Mail us the following information:
Name
Address, City, State, Zip
Account # - Mail to:
Regal Securities, Inc.
950 Milwaukee Ave., Suite 102
Glenview, IL 60025
Please note:
If you are a new customer, we can begin sharing your information 30 days from the date we sent this notice. When you are no longer our customer, we continue to share your information as described in this notice. However, you can contact us at any time to limit our sharing.
Questions?
Call 1-877-488-6534
Who we are
Who is providing this Notice?
Regal Securities and its affiliate – see below.
What we do
How does Regal Securities protect my personal information?
To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.
For more information, please read about Keeping Your Account Secure.
How does Regal Securities collect my personal information?
We collect your personal information, for example, when you:
- Open an account or give us your income information
- Seek advice about your investments or tell us about your investment or retirement portfolio
- Make deposits or withdrawals from your account
- We also collect your personal information from others, such as credit bureaus, affiliates, or other companies
Why can’t I limit all sharing?
Federal law gives you the right to limit only:
- Sharing for affiliates’ everyday business purposes – information about your creditworthiness
- Affiliates from using your information to market to you
- Sharing for nonaffiliates to market to you
What happens when I limit sharing for an account I hold jointly with someone else?
Your choices will apply to everyone on your account, unless you tell us otherwise.
Definitions
Affiliates
Companies related by common ownership or control. They can be financial or nonfinancial companies.
- Our affiliate is Regal Advisory Services, Inc.
Nonaffiliates
Companies not related by common ownership or control. They can be financial and nonfinancial companies.
- Regal Securities does not share with nonaffiliates so they can market to you.
Joint marketing
A formal agreement between nonaffiliated financial companies that together market financial products or services to you.
- Regal Securities does not jointly market with nonaffiliated companies.
Other important information
Our approach may differ from various states.
Regal Securities has entered into a Protocol for Broker Recruiting with certain other brokerage firms under which your advisor may take your personal information – specifically your name, address, telephone number, email address, and account title – in the event your financial advisor leaves Regal Securities and joins one of the other member brokerage firms.
Third party services
For account funding, Regal Securities uses Plaid Inc. (“Plaid”) to gather your data from financial institutions. By using the Service, you grant Regal Securities and Plaid the right, power, and authority to act on your behalf to access and transmit your personal and financial information from your relevant financial institution. You agree to your personal and financial information being transferred, stored, and processed by Plaid in accordance with the Plaid end user privacy policy.