Canter Brokerage will protect the information customers have provided in a manner that is safe, secure, and professional. Canter Brokerage and its employees are committed to protecting customer privacy and to safeguarding that information.
Safeguarding Customer Documents
Canter Brokerage collects non-public customer data in checklists, forms, in written notations, and in documentation provided to us by our customers for evaluation and related services. The firm also creates internal lists of such data.
During regular business hours, access to Client records is monitored so that only those with approval may access files. During hours in which the Firm is not in operation, customer records are locked. No individual who is not so authorized shall obtain or seek to obtain personal customer information. No individual with authorization to access personal customer information shall share that information in any manner without the specific consent of a firm principal. Failure to observe Canter Brokerage’s procedures regarding customer and consumer privacy will result in discipline and may lead to termination.
Sharing Nonpublic Personal & Financial Information
Canter Brokerage is committed to the protection and privacy of its customers’ personal information. Canter Brokerage will not share such information with any affiliated or nonaffiliated third party except:
When necessary to complete a transaction in a customer account;
When required to maintain or service a customer account;
To resolve customer disputes or inquiries;
With persons acting in a fiduciary or representative capacity on behalf of the customer;
With rating agencies, persons assessing compliance with industry standards, or to the attorneys, accountants, and auditors of the firm;
In connection with a sale or merger of Canter Brokerage business;
To protect against or prevent actual or potential fraud, identity theft, unauthorized transactions, claims or other liability;
To comply with federal, state or local laws, rules and other applicable legal requirements;
In connection with a written agreement to provide investment management or advisory services when the information is released for the sole purpose of providing the products or services covered by the agreement;
In any circumstances with the customer’s instruction or consent; or
Under any other exceptions enumerated in California (or another state, as applicable) Information Privacy *
We use “cookies” on this site. A cookie is a piece of data stored on a site visitor’s hard drive to help us improve your access to our site and identify repeat visitors to our site. For instance, when we use a cookie to identify you, you would not have to log in a password more than once, thereby saving time while on our site. Cookies can also enable us to track and target the interests of our users to enhance the experience on our site. Usage of a cookie is in no way linked to any personally identifiable information on our site.
This website contains links to other sites. Please be aware that we are not responsible for the content or privacy practices of such other sites. We encourage our users to be aware when they leave our site and to read the privacy statements of any other site that collects personally identifiable information.
We take precautions to protect your information. When you submit sensitive information via the website, your information is protected both online and offline.
Wherever we collect sensitive information (such as credit card data), that information is encrypted and transmitted to us in a secure way. You can verify this by looking for a lock icon in the address bar and looking for “https” at the beginning of the address of the Web page.
While we use encryption to protect sensitive information transmitted online, we also protect your information offline. Only employees who need the information to perform a specific job (for example, billing or customer service) are granted access to personally identifiable information. The computers/servers in which we store personally identifiable information are kept in a secure environment.
It is not a policy of Canter Brokerage to share nonpublic personal information with affiliated or unaffiliated third-parties except under the circumstances noted above. Since sharing under the circumstances noted above is necessary to service customer accounts or is mandated by law, there are no allowances made for Clients to opt out.
CA DRE# #01927052