Privacy Policy

The following describes how Cantone Research, Inc. handles your personal information, and what steps we take to protect your privacy. We do not use your personal information for marketing purposes.

Who We Are

Cantone Research, Inc. is an independent broker dealer. We clear through
First Clearing LLC. which is a wholly-owned, fully guaranteed subsidiary of Wachovia Securities, LLC. First Clearing provides securities execution, clearance and operational services for its introducing brokers and dealers' ("Correspondents") customer and proprietary trading accounts on a fully disclosed basis.

Accessing Information

Access to customer information is authorized for Cantone Research, Inc. business purposes only. It is based on our need to know such information to assist in providing products or services to you, or to conduct business. Cantone Research, Inc. requires its employees who have access to customer information to protect it and keep it confidential.

Collect Information to Conduct Business

Cantone Research, Inc. collects information about you to help your broker serve your financial needs, provide customer service, offer new products or services, and fulfil legal and regulatory requirements. The type of information varies according to the products or services you request through your broker, and may include:

• Information included on your application and related forms (such as name, address, Social Security number, assets and income);
  
  
• Information about your relationships with your broker (such as products or services purchased, account balances and payment history); and
  
  
• Information from visitors to First Clearing's websites (such as that provided through online forms, site visitorship data and online information collecting devices known as "cookies.")
  

Security Standards

First Clearing continues to assess new technology to evaluate its ability to provide additional protection of your personal information. We safeguard this information in accordance with federal standards and established security standards and procedures. Measures we take in this regard include implementation of physical, electronic and procedural safeguards.

Sharing Information

In the course of conducting business, we may disclose some or all of the previously described information about you to our clearing firm, First Clearing or its parent Company, Wachovia Securities LLC., to non-broker and other businesses including non-affiliated third parties, as allowed by law, for the purpose of:

• Providing customer service or account maintenance;
  
• In response to a subpoena, to prevent fraud, or to comply with an inquiry by a government agency or regulator, and
  
• To perform services for us or on our behalf to develop or maintain software.