Barnard/Montague Securities, LLC
Privacy Notice and Business Continuity Plan
Privacy Notice
This notice is being provided by Barnard/Montague Securities, LLC, its principals and registered representatives (collectively called Barnard/Montague Securities, LLC.)
We recognize our obligation to keep information about clients secure and confidential. It’s important for you to know that we do not sell client information to anyone. We restrict access to non-public information about clients to those representatives and employees who need to know that information to provide clients with products or services. We also maintain physical, electronic, and procedural safeguards to guard non-public personal information. This notice describes how we handle client financial information that we collect while conducting our business.
We collect information about clients and their businesses from discussions and from documents that clients may deliver to us in the course of our providing services. We use this information in order to assist clients in developing a plan and in executing the plan once we have been engaged. In order to execute our engagement, with client approval, we may provide information we have received to potential lenders or investors who have a need for such information, as permitted by law. We may also disclose such information to FINRA or the Securities & Exchange Commission, the regulatory agencies that oversee our activities.
If you prefer that we not disclose non-public, personal information about you to non-affiliated third parties (other than those disclosures permitted by law), clients may opt out of those disclosures, that is, clients may direct us not to make those disclosures. If you wish to opt out of disclosures to non affiliated third parties, you may contact us at 415-992-5463.
Anti-Money Laundering Procedures: 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. We may also ask to see a current government issued identification including your driver’s license or other identifying documents.
Preparedness/Business Continuity Plan
Barnard/Montague Securities, LLC, has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
Contacting Us – If, after a significant business disruption you cannot contact us as you usually do, you should call our alternative numbers 415-992-5463 or 925-386-6171.
Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.