At Bley Investment Group, Inc., 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, working on behalf of your financial organization.
Confidentiality and Security
We restrict access to nonpublic personal information about you to those employees, agents, clearing firms, affiliates and non-affiliates who need to know that information to provide products or services to you. We maintain safeguards to guard your nonpublic personal information.
Categories of Information Bley Investment Group Discloses and Parties to Whom Bley Investment Group Discloses:
We do not disclose any nonpublic personal information about our customers or former customers to anyone other than our employees, agents, clearing firms, affiliates and non-affiliates who need to know that information to provide products or services to you, except as permitted by law.
Categories of Information Bley Investment Group Collects
We collect nonpublic personal information about you from the following sources.
- Information we receive from you on applications or other forms.
- Information about your transactions with us, our affiliates, or others.
- Information we receive from a consumer reporting agency.
If for any reason 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.
Customer Identification and Verification
Bley is required to obtain information pursuant to Finra rules. At a minimum, we use government issued identification documents such as driver's licenses or passports. The Firm will records the type of document used to verify the identity of the customer, the place of issuance, the date of issuance and the date of expiration. Further, the kinds of information that the Firm will collect before opening different types of accounts are listed: domestic trusts, Foreign and Offshore Entitles, Institutional Accounts, Hedge Funds, Investment and Other Intermediary Relationships, High Risk and Non-Cooperative Jurisdictions, Senior Foreign Government/Public Officials, and Transferred Accounts.
A copy of updated policy is available upon request by contacting our offices at (800) 959-2444