FFEC Privacy Policy
First Financial Equity Corporation (FFEC) is committed to protecting our customers’ personal information. At FFEC, we take the responsibility to safeguard the confidentiality of clients’ information we are required to obtain very seriously. We do not disclose personal information about our customers to non-affiliated third parties, except as described below.
Privacy Policy
How We Protect Confidentiality:
We require that commercial entities (custodians, financial institutions, investment firms) with which we share your personal information agree to keep your information confidential. We also prohibit those entities from using or disclosing your information except for a limited purpose and to the persons for whom disclosure was intended, or as otherwise permitted or required by law. Service providers to whom we disclose personal information must agree to contractual requirements consistent with our privacy and security policies. We prohibit our service providers from using personal information except for the specific purpose for which we provide it to them, and we require them to comply with legal obligations applicable to the personal information at issue. FFEC does not sell your personal information to anyone. We receive no compensation for your personal information, nor does your privacy preferences affect the fees for service paid to FFEC. We conduct regular internal audits of our business practices and procedures in order to protect your personal information. FFEC uses procedural, physical, and electronic system safeguards to store and secure information about you in compliance with federal standards. Our systems protect your information from unauthorized access, alteration, and destruction. Access is permitted only to those individuals within our organization who need the information to perform their job responsibilities.
Internet Security
FFEC does not retrieve account or personal information from visitors who browse the public areas of our Web sites. We maintain reasonable physical, electronic, and procedural safeguards to protect your personal information.
Option to Opt Out and Change Notices
FFEC’s Privacy Policy and Customer Identification Program applies to anyone who is a current or former FFEC brokerage client. FFEC provides this information to customers when they open a new account and annually thereafter. If for any reason at any time in the future, we find it necessary to disclose any of your personal information in a way that is inconsistent with this policy, we will give you advance notice of the proposed change and the opportunity to opt out of such disclosure.
FFEC adheres to the Protocol for Broker Recruiting with certain other brokerage firms and if FFEC remains a signatory to the Protocol as of the effective date of your financial professional’s termination from FFEC, then FFEC will permit your financial to take your name, address, phone number, email address and the account title of the accounts serviced (or additional information as permitted if the Protocol is amended) while your financial professional was associated with FFEC if your representative joins another Protocol firm. The retention of this limited information by your financial professional under the protocol may occur even if you have exercised your rights limit information sharing. Account representatives will not have access to their client information if they have been terminated for cause or are exiting the investment business. FFEC will observe this procedure until we are advised of changes to the contrary under Regulation S-P.
To limit the personal information that your financial professional could disclose or take if he or she moved to another brokerage or investment advisory firm and terminated their relationship with FFEC and/or request FFEC to delete your personal information upon account closing, please provide a signed written letter to FFEC that includes the following information:
- Name
- Address
- Phone Number
- Name of FFEC Financial Professional
Please note that the privacy choices made by one owner applies to all account owners on the account. To reverse your opt out selection will require a signed written letter to FFEC.
If you have questions or concerns about our Privacy Policy, please contact us at (800) 687-3800 or via email at compliancedept@ffec.com.
Contact Information
Should you ever have any other questions or concerns regarding your account, please contact us at the following:
First Financial Equity Corporation
Attn: Compliance Department 7373 N. Scottsdale Road,
Suite D120 Scottsdale, AZ 85253
Your relationship is very important to us and we thank you for the opportunity to serve your financial needs. We look forward to a long relationship with you.
7373 N. Scottsdale Road | Suite D120 | Scottsdale, Arizona | 85253 480-951-0079
Member FINRA/SIPC
LS 1.7.2021
