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.
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.