Since 1870 Dominick & Dickerman LLC has made it its highest priority to treat our clients with integrity and discretion, and maintain the strictest standards of privacy, confidentially, and security with regard to any non-public information regarding our client we obtain. Access to personal information is granted to our employees only to provide investments and services to clients, or to serve another legitimate business purpose. Dominick & Dickerman LLC does not disclose client information without the client’s consent and appropriate documentation ensuring confidentiality, and never sells client information. We maintain physical, electronic, and procedural safeguards to comply with applicable regulations to protect client information, and our employees are bound by a code of personal conduct requiring confidential treatment of client information.
How and why we collect client information.
Dominick & Dickerman LLC may collect information regarding our clients from a number of sources in order to better understand their investment needs and to make them aware of investments and services that could help them achieve their financial goals;. Such information may include:
- Information supplied to us by a client in order to enable us to determine whether it would be appropriate for us to enter into an engagement, and any information supplied by a client once an engagement letter has been signed.
- Information we may obtain during the course of an engagement regarding investment opportunities or other financial goals of a client.
When we share client information with third parties.
We may disclose client information to affiliated or non-affiliated third parties with whom we have contracted to perform services on behalf of our clients. We may be required to provide such information to regulatory agencies and legal authorities, such as the Securities and Exchange Commission, or the Financial Industry Regulatory Authority, or in response to a subpoena, or court order.