St. Charles recognizes the importance of keeping our customers’ confidential financial information private. This is a top priority for St. Charles Capital. This notification, which is required by law, explains our Privacy Policies. Please note we will consult government-provided lists of known or suspected terrorists for individual clients and those who can transact business on behalf of institutional clients.

We will safeguard, according to strict standards of security and confidentiality, nonpublic, personal information our customers share with us. “Nonpublic, personal information,” for example, would include such information as your name, address, social security number, and date of birth. We will maintain safeguards, physical and electronic, and conduct our business in a manner that keeps personal customer information secure.
We will limit the collection and use of customer information to the minimum we require to deliver superior service and to administer our business, recognizing, however, that we do need to obtain information to make suitable recommendations and to conduct appropriate “due diligence” in our investment banking business. We collect personal information from customers from the following sources:
• From customers on questionnaires, subscription agreements and related forms;
• From your transactions with us, our affiliates and others;
• From background checks (not consumer reports);
• From non-affiliated third parties.
It is our policy that only authorized employees of St. Charles, their agents, and their staff who need to know your personal information will access and use it. Employees of St. Charles who violate our Privacy Policies are subject to discipline.
It is our policy that we will not share personal customer information (of either current or former customers) outside of St. Charles for any purpose other than the providing of investment banking services or the brokering or underwriting of securities transactions on behalf of the customer, unless the disclosure has been authorized by the customer or is permitted by law.
Whenever we retain other organizations to provide support services on behalf of St. Charles we will require them to protect customers’ personal information.
When necessary, we will review and revise our Privacy Policies to protect personal customer information.

PATRIOT ACT NOTICE

Important Information About Procedures for Opening a New Account

To help the government fight the funding of terrorism and money-laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who transacts business with St. Charles.

What this means for you: Depending on the nature of the transaction, we may ask for your name, address, date of birth, social security number, and other pertinent information that will allow us to identify you. Additionally, we may ask to see your driver’s license or other government issued identifying documents.

business continuity plan

privacy notice