Author: Basil

Privacy Policy

Capital Management Securities, Inc. (CMS)

Rev. 10/10

FACTS

WHAT DOES CMS DO
WITH YOUR PERSONAL INFORMATION?

Why?

Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share and protect your personal information. Please read this notice carefully to understand what we do.

What?

The types of personal information we collect and share depends on the product or service you have with us. This information can include:
Social Security number and income
Account balances and payment history
Credit history and credit scores
When you are no longer our customer, we continue to share your information as described in this notice.

How?

All financial companies need to share customer’s personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customer’s personal information; the reasons CMS chooses to share; and whether you can limit this sharing.

Reasons we can share your personal information

Does CMS
Share?

Can you limit this
Sharing?

For our everyday business purposes -
such as to process your transactions, maintain your
account(s), respond to court orders and legal
investigations, or report to credit bureaus

Yes

No

For our marketing purposes -
To offer our products and services to you

Yes

No

For our joint marketing with other financial cos.

No

We don’t share

For our affiliates’ everyday business purposes-
Information about your transaction and experiences

No

We don’t share

For our affiliates’ everyday business purposes-
Information about your credit worthiness

No

We don’t share

For nonaffiliates to market to you

No

We don’t share

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Who we are

What we do

Definitions

Who is providing this notice?

Capital Management Securities, Inc.

How does CMS
protect my personal information?

To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.

How does CMS
collect my personal information?

We collect your personal information, for example, when you open an account, update account information or deposit money.

Why can’t I limit all sharing?

Federal law gives you the right to limit only:
Sharing for affiliates’ everyday business purposes-information about your creditworthiness
Affiliates from using your information to market to you
Sharing for nonaffiliates to market to you
State laws and individual companies may give you additional rights to limit sharing.

Affiliates

Companies related by common ownership or control. They can be financial and nonfinancial companies.
CMS has a fully disclosed clearing agreement with Southwest Securities, Inc.

Nonaffiliates

Companies not related by common ownership or control. They can be financial and nonfinancial companies.
CMS, Inc. does not share with nonaffiliates so they can market to you

Joint marketing

A formal agreement between nonaffiliated financial companies that together market financial products or services to you.
CMS does not jointly market

Questions?

Call 952-893-1200 Main office

7900 Xerxes Ave. South, Suite 500, Minneapolis, MN 55431
CMS—Member: FINRA/SIPC