R.J. O’Brien’s Privacy Policy

R.J. O’Brien & Associates, LLC and its affiliates (collectively, “R.J. O’Brien” or we or us) and your Introducing Broker, New Frontier Capital Markets, LLC, who has adopted this policy, believe in respecting the privacy and security of your personal information.

Please read this Privacy Policy carefully

We do not disclose any nonpublic personal information about our customers or former customers to anyone, except as permitted by law.

We do not disclose any nonpublic personal information about our customers or former customers to anyone, except as permitted by law.

We may collect personally identifiable information (“PII”) about you from the following sources:

  • Information we receive from you on applications or other forms;
  • Information from communication and interactions that we have with you;
  • Information from third parties who provide consumer information or verify consumer relationships;
  • Information about your transactions with us, our affiliates or others;
  • Information we receive from a consumer reporting agency and;
  • Information about you that we obtain through an information collecting device from a web server.

PII includes any information by which you can be personally identified, and may include your name, address, age, date of birth, electronic mail address, occupation, employment information, telephone number, education, the kind of service provided to you, credit card number, and other similar information.

Use and Disclosure of Your Information

We may use and/or share your PII for the following reasons:

  • To contact you in response to your inquiries, comments and suggestions;
  • To contact you otherwise when necessary;
  • For the specific purpose for which it was volunteered;
  • To complete any transactions you may perform with or through us;
  • To be provided to R.J. O’Brien’s third parties in connection with the legitimate business purposes of R.J. O’Brien or the site;
  • To third parties that assist us with preparing and processing orders and statements;
  • As required by law or regulation, or as requested by government authorities, or for the protection of persons or property;
  • In connection with an acquisition, merger, restructuring, sale or other transfer involving all or any portion of the business.

PII includes any information by which you can be personally identified, and may include your name, address, age, date of birth, electronic mail address, occupation, employment information, telephone number, education, the kind of service provided to you, credit card number, and other similar information.

USA PATRIOT ACT NOTICE TO CUSTOMERS

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 opens an account.
What this means for you: When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you.

GDPR Privacy Notice

For our GDPR Privacy Notice, please see https://www.rjobrien.com/site/policy

222 South Riverside Plaza
Suite 900 Chicago, IL 60606

(312) 373-5000

www.rjobrien.com