Legal Notices

Privacy Policy

What is our commitment to you?
Madison Avenue Securities, Inc. and its family of affiliated companies are committed to maintaining the trust and confidence of our customers. We want you to understand how we protect your privacy when we collect and use information about you, and the measures we take to safeguard that information. Keeping customer information secure and private is a priority for us. The following describes our Privacy Policy. Please take a moment to review it and feel free to contact us with any questions. Thank you for the trust you have placed in us. We look forward to working very hard to continue to earn your trust.

What types of non-public personal information do we collect about you?
In the course of providing service to you, we collect non-public personal information about you from the following sources: Application information such as assets, income, debt which is provided to us on the application form. Transactions information your account balance, payment history, parties to transactions, types and amounts of investments, transactions, and credit card usage. Information we receive from consumer reporting agencies, for example, your credit worthiness and credit history. Information obtained when verifying the information you provide on applications or other forms (this may be obtained from your current or past employers, or from other institutions where you conduct financial transactions).

Do we disclose to any non-affiliated third parties your non-public personal information?
Madison Avenue Securities, Inc will not disclose consumer information, account numbers, access numbers or access codes for credit cards, deposit or transaction accounts to any nonaffiliated third party for use in telemarketing, direct mail or other marketing purposes. Madison Avenue Securities limits the sharing of nonpublic personal information about you with financial or non-financial companies or other entities, including companies affiliated with Madison Avenue Securities, Inc. and other, nonaffiliated third parties, to the following exceptions:

  • We may share information when it is necessary and required to process a transaction or to service a customer relationship. For example, information may be shared with a company that provides account record keeping services or a company that provides proxy services to shareholders, or our clearing firm.
  • We may share information when it is required or permitted by law. For example, information may be shared to protect you against fraud or with someone who has a legal or beneficial interest, such as your power of attorney, or in response to a subpoena.

For example, we may share information about you with the financial intermediary (bank, investment advisor, or our clearing firm) through whom you purchased Madison Avenue Securities products or services, or with providers of, legal, accounting or other professional services.

Information Security
When Madison Avenue Securities shares nonpublic customer information referred to above, the information is made available for limited purposes and under controlled circumstances designed to protect our customers' privacy. We require third parties to comply with our standards for security and confidentiality. We do not permit use of customer information for any other purpose nor do we permit third parties to rent, sell, trade or otherwise release or disclose information to any other party. These requirements are included in written agreements between Madison Avenue Securities and third party service providers. Madison Avenue Securities maintains physical, electronic, and procedural safeguards to protect your nonpublic personal information.

We will adhere to the privacy policies and practices as described in this notice. We reserve the right to change this policy at any time and you will be notified if any changes occur. If you have any questions after reading this Privacy Policy, please contact us by writing to Privacy Officer at the address below.

Other Important Notices: If you have any questions regarding this privacy policy, complaints or concerns they may be addressed with the Compliance Department at 888-627-7323. Additionally, if you have any questions regarding your account please be sure to contact your Registered Representative.

For more information about Securities Investor Protection Act (SIPC), including SIPC brochure, you may contact SIPC at www.sipc.org or 202.371.8300.

Should you like information regarding Regulation Public Disclosure, or a copy of the Public Disclosure Program Investor Brochure contact FINRA at 800.289.9999 or via their web site at www.finra.org.

Madison Avenue Securities, Inc., 15050 Avenue of Science, Suite 150, San Diego, CA