At The Capital Chart Room LTD® (or “TCCR”), we respect your personal financial privacy. We realize that you have entrusted us with private personal financial information, and it is important to us that you know our policy concerning what we do with that information.
We collect personal financial or other sensitive information such as account numbers, account balances, social security numbers, bank information, information found in wills and trusts, medical information for insurance purposes, and other similar information about you from the following sources:
§ Information and documents that you provide us such as personal financial statements, tax returns, legal documents, etc.; and
§ Information you provide us in investment advisory agreements, brokerage account applications, and other documents you complete in connection with the opening and maintenance of your accounts with us; and
§ Information you provide us orally; and
§ Information you authorize your advisors to provide us regarding your financial affairs; and
§ Information we receive from third parties, such as brokerage firms, insurance companies, and other investment advisers providing services, about your transactions with us or with others.
We do not disclose any nonpublic personal financial information stated above about you to anyone, except in the following circumstances:
§ When required to execute transactions for your account or otherwise to provide services you have requested; or
§ When you have specifically authorized us to do so, verbally or in writing; or
§ When permitted or required by law; or
§ When we exchange information with investment management and account servicing companies that provide services at TCCR’s direction. These are all firms with whom we are familiar, and all have privacy policies in place.
Our policies and procedures regarding this issue relate to our current, former, and prospective clients.
Within our firm, we restrict access to your personal financial information to the employees who need to know that information to provide services to you. To ensure security and confidentiality, we maintain physical, electronic, and procedural safeguards to protect your privacy. We do not sell your personal information to anyone.
The Capital Chart Room LTD®
2821 West 7th Street, Suite 550
Fort Worth, TX 76107
For questions, please contact:
Investment Services Manager & Chief Compliance Officer