Broker Check

Privacy Policy

Landolt Securities, Inc. ("LANDOLT") is a broker-dealer and registered investment adviser.  LANDOLT is a member of the Financial Industry Regulatory Authority ("FINRA"), the Municipal Securities Rulemaking Board ("MSRB"), and the Securities Investor Protection Corporation ("SIPC").  LANDOLT has no affiliated companies.  LANDOLT is required by federal law to provide you with this notice, which outlines our business practices to protect your privacy as well as how we collect and share personal information about you.

We Respect Your Privacy

LANDOLT is committed to protecting your privacy.  LANDOLT relies on access to your personal financial information in order to provide you with relevant information regarding the products and services we offer as well as to provide you with appropriate investment recommendations. We appreciate and understand that the personal financial information you have entrusted to us is sensitive and confidential and we have adopted policies and procedures which assist us in safeguarding this information.

Personal Information We Collect About You

LANDOLT collects confidential information from you in a number of ways, including information provided on our new account applications and other forms, consumer reporting agencies, personal interviews with you, and other sources.  Examples include your name, address, phone number, email address, social security number, date of birth, net worth, income, financial objectives, investment experience, account balances, investment holdings, etc. We may also obtain information about your creditworthiness and credit history from credit reporting agencies, and background information from and through third-party vendors to verify representations you have made and to comply with various regulatory requirements.

How We Share Your Personal Information

LANDOLT does not share confidential information about our clients with unaffiliated third parties except:

  • when such disclosure is necessary to manage and service your account
  • to provide printing, mailing, and data processing services,
  • when we believe that such disclosure is required or permitted by law, including to cooperate with regulatory or law enforcement authorities, to report tax-related information to federal and state governments, to resolve customer disputes, to perform credit/authentication checks, or for risk control.

We understand that your relationship with your financial advisor is important. If your advisor ends their affiliation with us and joins another broker-dealer with which we have entered into an agreement limiting the use of information, we
will permit your financial advisor to retain certain contact information limited to your name, address, telephone number, email address, and account title.

How We Protect Your Personal Information

LANDOLT maintains physical, electronic, and procedural safeguards that comply with federal regulations to protect your personal information. If information is shared with unaffiliated third parties in certain limited circumstances, we require them to adhere to appropriate security standards with respect to such information. Under no circumstances will Landolt sell confidential client information to anyone, for any reason, at any time.

Contact Us With Questions

If you have any questions or concerns, you may contact your LANDOLT representative or call (847) 838-5151.