|
|
 |
| |
|
Home > Financial Services > Stock Brokers > Pflueger & Baerwald Inc.
Pflueger & Baerwald Inc.
Pflueger & Baerwald Inc is a member of NASD, the National Association of Securities Dealers. NASD is a self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
Pflueger & Baerwald is committed to protecting your personal and financial information. In the course of providing you with brokerage services, they need to collect and maintain certain nonpublic personal information about you. The firm discloses the nonpublic personal information about you described above, primarily to provide you with the financial services you seek from them.
They do not disclose nonpublic personal information about former customers, except as required by law and do not disclose nonpublic personal information about you to any non-financial services company. The firm does not sell your personal information to any nonaffiliated companies for marketing purposes.
The firm discloses information to nonaffiliated companies that work for them in providing financial services to you. For example, they provide information to nonaffiliated companies that perform data processing services for them and companies that prepare and mail statements and proxy materials. These companies, acting on their behalf are required to keep client’s personal information confidential.
Finally, Pflueger & Baerwald discloses nonpublic personal information to nonaffiliated third parties as required by law. These parties include government or regulatory organizations such as the Internal Revenue Service and the Securities and Exchange Commission. Disclosures for which you have provided your consent are also permitted.
They maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your nonpublic personal information. Access to your nonpublic personal information is limited to those employees who need to know that information to provide products or services to you, such as customer services personnel. The company conducts internal audits of its business practices and procedures in order to protect your personal information.
Financial Services Companies
all are here at FinancialBrowsers.com Permission is granted to reproduce this article as long as the above resource paragraph is left intact with active links.
Back to Stock Brokers
|
|
|
|
|
|
|