Privacy Policy

PRIVACY NOTICE

It is the policy of First Capital Equities, Ltd., First Capital Consulting, Inc., and their affiliated Entities (together the “Company”) to keep confidential nonpublic personal information (“information”) pertaining to each current and former client (i.e., information and records pertaining to personal background, investment objectives, financial situation, tax information/returns, investment holdings, account numbers, account balances, etc.) unless the Company is: (1) previously authorized by the client to disclose information to individuals and/or entities not affiliated with the Company, including, but not limited to the client’s other professional advisors and/or service providers (i.e., attorney, accountant, insurance agent, broker-dealer, investment adviser, account custodian, etc.); (2) required to do so by judicial or regulatory process; or (3) otherwise permitted to do so in accordance with the parameters of applicable federal and/or state privacy regulations.

The disclosure of information contained in any document completed by the client for processing and/or transmittal by the Company in order to facilitate the commencement/continuation/termination of a business relationship between the client and a nonaffiliated third party service provider (i.e., broker-dealer, investment adviser, account custodian, insurance company, etc.), including information contained in any document completed and/or executed by the client for the Company (i.e., advisory agreement, client information form, etc.), shall be deemed as having been automatically authorized by the client with respect to the corresponding nonaffiliated third party service provider. Each individual and/or entity affiliated with the Company is aware of the Company’s Privacy Policy, and has acknowledged his/her/its requirement to comply with same. In accordance with the Company’s Privacy Policy, each such affiliated individual and/or entity shall have access to information to the extent reasonably necessary for the Company to perform its services for the client, and to comply with applicable regulatory procedures and requirements.

EMAIL ACKNOWLEDGEMENT AND CONSENT

As an integral component to ensure the protection of your privacy, the Company may offer you the ability to deliver messages to you that include personal account or portfolio information, making these messages more valuable to you in managing your accounts at the Company. Unless we are contacted by you, you acknowledge that you are capable of receiving the Company’s secure emails. In addition, you understand that you should contact us to report any problem with receipt or viewing of your secure emails.

Should you have any questions regarding the above, please contact David H. Schwartz, CFP, Chairman and Chief Executive Officer of the Company, at 516-487-8220.

Independence. Transparency. Oversight..
© 2017 FCE Group
Long Island: 3 Dakota Drive, Suite 310, Lake Success, NY 11042 | Phone: (516) 487-8220 | Fax: 516-342-4321
Manhattan: 260 Madison Avenue, 17th Floor, New York, NY 10016 | Phone: (516) 487-8220
Florida: 4440 PGA Boulevard, Suite 600, Palm Beach Gardens, FL 33410 | Phone: (561) 472-0827