Privacy Policy

AT H.C. WAINWRIGHT, WE RECOGNIZE THE IMPORTANCE OF PROTECTING YOUR PRIVACY AND WE HAVE POLICIES IN PLACE TO MAINTAIN THE CONFIDENTIALITY AND SECURITY OF YOUR PERSONAL INFORMATION. THE FOLLOWING POLICY IS DESIGNED TO HELP YOU UNDERSTAND WHAT INFORMATION WE COLLECT FROM YOU AND HOW WE USE THAT INFORMATION TO SERVE YOUR ACCOUNT.

CONFIDENTIALITY AND SECURITY

WE RESPECT ACCESS TO NONPUBLIC INFORMATION, PERSONAL INFORMATION ABOUT YOU, TO THOSE EMPLOYEES AND AGENTS WHO NEED TO KNOW THAT INFORMATION IN ORDER TO PROVIDE PRODUCTS AND SERVICES TO YOU. WE MAINTAIN PHYSICAL, ELECTRONIC AND PROCEDURAL SAFEGUARDS TO PROTECT YOUR NONPUBLIC, PERSONAL INFORMATION.

CATEGORIES OF INFORMATION THAT H.C. WAINWRIGHT DISCLOSES AND PARTIES TO WHOM IT IS DISCLOSED

WE DO NOT DISCLOSE ANY NONPUBLIC, PERSONAL INFORMATION ABOUT OUR CUSTOMERS OR FORMER CUSTOMERS TO ANYONE, EXCEPT AS PERMITTED BY LAW.

CATEGORIES OF INFORMATION THAT H.C. WAINWRIGHT COLLECTS

WE COLLECT NONPUBLIC, PERSONAL INFORMATION ABOUT YOU FROM THE FOLLOWING SOURCES:

1. INFORMATION WE RECEIVE FROM YOU ON APPLICATIONS OR OTHER FORMS.
2. INFORMATION ABOUT YOUR TRANSACTIONS WITH OUR AFFILIATES AND US.

OPTING OUT

PLEASE BE AWARE THAT YOU HAVE THE RIGHT TO MAINTAIN THE PRIVACY OF YOUR NONPUBLIC, PERSONAL INFORMATION. SHOULD OUR POLICY CHANGE, WE WILL NOTIFY YOU AND AT THAT TIME, YOU MAY NOTIFY US, IN WRITING, IF YOU WISH THAT YOUR INFORMATION NOT BE USED FOR ANY OTHER PURPOSE THAN MAINTAINING YOUR ACCOUNT WITH OUR FIRM.


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H.C. Wainwright & Co., LLC is an Investment Bank and registered Broker/Dealer. Member of SIPC / FINRA.
 
H.C. Wainwright & Co., LLC makes the information on this website (“site”) available as a service to visitors, to be used for informational purposes only.

For any questions regarding H.C. Wainwright & Co., LLC compliance policies or procedures, please contact our Chief Compliance Officer: compliance@hcwco.com.