PRIVACY POLICY

WHAT DOES WELLINGTON SHIELDS & CO., LLC DO WITH YOUR PERSONAL INFORMATION?

WHY?

Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.

WHAT?

The types of personal information we collect and share depend on the product or service you have with us. This information can include:

  • Social Security number
  • Assets
  • Account balances
  • Account Transactions

HOW?

All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers’ personal information; the reasons Wellington Shields & Co., LLC chooses to share; and whether you can limit this sharing.

Reasons we can share your personal information Does Wellington
Shields & Co., LLC
share?
Can you
limit this
sharing?
For our everyday business purposes such as to process your transactions,maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No
For our marketing purposes to offer our products and services to you Yes We don't share
For joint marketing with other financial companies No We dont share
For our affiliates' everyday business purposes information about your transactions and experiences Yes No
For our affiliates' everyday business purposes information about your creditworthiness Yes No
For nonaffiliates to market to you No We dont share

QUESTIONS?

Call (1-800-289-7443) or go to www.wellingtonshields.com

Who is providing this notice?

Wellington Shields & Co., LLC and Wellington Shields Capital Management, wholly owned divisions of Wellington Shields Holdings, LLC.

How does Wellington Shields & Co., LLC protect my personal information?

To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.

We restrict access to your personal information to only those employees that need to service your accounts.

How does Wellington Shields & Co., LLC collect my personal information?

We collect your personal information, for example, when you

  • Open an account
  • Provide account information
  • Give us your contact information
  • Make deposits or withdrawals from your account
  • Make a wire transfer
  • Submit identifying information

Why can’t I limit all sharing?

  • sharing for affiliates’ everyday business purposes—information about your creditworthiness
  • affiliates from using your information to market to you
  • sharing for nonaffliates to market to you

State laws and individual companies may give you additional rights to limit sharing.

Affiliates

Companies related by common ownership or control. They can be financial and nonfinancial companies.

Wellington Shields Capital Management

Non-affiliates

Companies not related by common ownership or control. They can be financial and non-financial companies.

Wellington Shields & Co., LLC does not share with non-affiliates so they can market to you.

Joint marketing

A formal agreement between nonaffiliated financial companies that together market financial products or services to you.

Wellington Shields & Co., LLC does not jointly market.

Other important information

Wellington Shields & Co., LLC and Wellington Shields Capital Management, LLC are wholly owned divisions of Wellington Shields Holdings, LLC.

If you have any opt-out questions, please contact our Chief Compliance Officer at (212-320-3000).

Contact Wellington Shields & Co. LLC for more information.