Privacy Policy



Client Privacy Policy

In order to maintain and service your accounts, as well as comply with regulatory requirements, Electronic Transaction Clearing, Inc. (“ETC”) will gather and store certain personal, nonpublic information about you. This information, collected via the new account application and other account documentation, is critical to open and administer your account. We understand that the confidentiality and security of personal information that you share with ETC is important, and have developed policies and practices designed to protect the privacy of that personal information. By opening an account with ETC, or by utilizing the products and services available through ETC, you have consented to the collection and use of your personal information in accordance with this Privacy Policy. Please read this notice carefully.

The information collected by ETC includes, but is not limited to, information we receive from you on applications, agreements or other forms as well as other communications and correspondence with ETC. The collected information also includes, but is not limited to, transactions with ETC, its affiliates or non-affiliated third parties. ETC may also collect information about you via third party sources, such as credit bureaus or third-party information collection vendors.

In addition to this collected information, transactions facilitated by you through ETC will be kept for reporting purposes and pursuant to ETC's regulatory requirements. ETC will disclose collected information when required to do so by law, court order or regulatory agency request. To provide superior service to clients it is necessary for ETC to, and ETC may, share information with other ETC affiliate companies as well as third parties it is currently involved with in a contractual relationship (such as your referring financial institution), except in states where this type of sharing is not permitted by law. This sharing of personal information is carried out on a strictly professional basis and is incidental to servicing your account. ETC has received assurances from these third parties that they will not share your personal information. ETC does not sell client lists or client email addresses to third party marketers.

You understand that through the normal course of servicing your account, certain agents and employees (including the employees of other ETC affiliate companies), may have access to your confidential account information. This may include operations and support personnel, as well as your investment professional. You understand that access to this information is limited and held in the strictest confidence. You understand that information about former clients who do not currently maintain an account relationship with ETC is not shared with any outside party.

You understand that due to the partnerships that ETC has with financial institutions to offer investment services, sharing of information with these financial institutions is critical to servicing your account. Allowing this sharing process to continue uninterrupted will allow you to take full advantage of the value offered by the relationship between your financial institution and ETC. ETC does offer you the option to limit the sharing of information between ETC and your referring financial institution.

ETC safeguards the confidentiality of its client information in a number of ways, such as:

  • Maintaining the client information in its physical or electronic control under high standards of security;
  • Never selling list of client personal, nonpublic information;
  • Restricting access to personal, nonpublic information to those ETC employees, agents and affiliates who need to know such information in order to service your account;
  • Maintaining employment practices and policies that prohibit the employees who have access to your personal, nonpublic information from using or disclosing such information other than for business purposes;
  • Limiting access to ETC systems only to authorized personnel via valid user names and passwords; as well as the utilization of security measures such as encryption and firewalls.

ETC reserves the right to amend this Privacy Policy, either broadening or narrowing its scope, at any time.

If you would like to request that your information not be shared with your referring financial institution or if you would like more information about ETC's Privacy Policy, your request should be sent to ETC in writing to: Electronic Transaction Clearing, Inc., Attention: Compliance, 660 South Figueroa Street, Suite 1450, Los Angeles, California 90017; by email to: compliance@etc-clearing.com; or by telephone to ETC at (213) 402-1570.