COMMITMENT TO PRIVACY
FallLine Securities LLC (“FallLine”, also referred to as “we”, “our” or “us”) is committed to protecting the confidentiality and security of information we obtain about our clients. We do not share non-public information about clients with unaffiliated third parties without client consent, except for the specific purposes described below.
USE OF INFORMATION
FallLine limits the collection and use of nonpublic client information to the minimum we believe necessary to deliver superior products and services to our clients. Such services include advising clients about our products, services and other opportunities, maintaining client accounts, processing client transactions, and administering our business. Where our clients are individuals, we may, depending on the nature of the relationship, share or disclose some personal data about them to custodial organizations and/or brokerage firms that are selected to execute transactions on behalf of the client. All of these organizations have their own privacy obligations and policies that further protect customer confidentiality.
In the case of individuals, we get most non-public personal information directly from clients or their agents at or about the time the client relationship is entered into. We may verify this information or get additional information from consumer reporting agencies or other sources. Such information may relate to finances, employment, or other personal characteristics, such as first and last name, address, phone number, social security number and email address, as well as accounts with us and transactions and interactions by us, with us, through us, or with others. We may also collect information about what areas clients have entered, viewed and/or downloaded from our website.
PROTECTING CLIENT INFORMATION
FallLine employs physical, electronic, and procedural safeguards to protect any information our clients share with us. We limit access to non-public client information to our employees who need to know that information to provide products or services to clients. Employees who violate our policies are subject to disciplinary procedures.
DISCLOSURE OF INFORMATION
FallLine does not disclose any kind of non-public information about our clients or former clients to anyone, except when we believe it necessary for the conduct of our business, or where disclosure is required by law.
FallLine Securities LLC is a broker-dealer registered with the Securities and Exchange Commission and is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC).