Broker Check

Privacy Request

If you are a California resident, California law may provide you with additional rights regarding our use of your personal information. Use this form to submit a request.

Residents of California may have rights under the California Consumer Privacy Act (“CCPA”), although most of the personal information that Advisor Group collects is exempt from the following provisions of the CCPA including personal information collected, processed, sold, or disclosed pursuant to the federal Gramm-Leach Bliley Act, or information otherwise exempt under CCPA.

If you are covered by the CCPA, you have the right, subject to certain limitations or exceptions, to: 1-request the categories of personal information about you, collected or shared; 2-request access to the personal information about you, collected or shared; 3-request that the personal information about you, collected or shared, be deleted; or 4-request that inaccurate information be corrected.

Please fill out this form to submit a request. This form is for CALIFORNIA RESIDENTS ONLY. ANY FIELD WITH AN ASTERISK IS MANDATORY.

CONSUMER TYPE DEFINITIONS

Conservator / Guardian / Power of Attorney / Executor — In these roles, a person acts as fiduciary to safeguard and manage the client’s assets.

Client / Former Client — An individual or individuals who owns or owned investment account(s) with any of the Advisor Group registered broker-dealer or registered investment advisor firms (see Privacy Policy for list of registered broker-dealer or registered investment advisor firms).

Current / Former / Prospective Advisor — Current/Former Advisors currently or previously registered with any of the Advisor Group registered broker-dealer or registered investment advisor firms (see Privacy Policy for list of registered broker-dealer or registered investment advisor firms). Prospective advisors expressed interest or were reviewed for affiliation with the above Advisor Group broker-dealers, but never joined.

Employee / Former / Prospective Employee — Currently/formerly employed with Advisor Group or its affiliated broker-dealers (see Privacy Policy for list of affiliated broker-dealers), or is or previously was a job applicant.

Board Members (Non-Employee) — A non-employee member of Advisor Group’s Board of Directors. Employee board members should select “employee.”

Prospective Client — Any individual who began the process of becoming a client of any of the Advisor Group registered broker-dealer or registered investment advisor firms (see Privacy Policy for list of registered broker-dealer or registered investment advisor firms), but has not completed the process to become a client.

Business Contact or Vendor Personnel — An individual who has conducted business with and/or is employed by an entity having a vendor relationship with Advisor Group or its affiliated broker-dealers (see Privacy Policy for list of affiliated broker-dealers).

Related Party (e.g. beneficiary, trusted contact, interested party) — Any individual who has or had a role within an investment account, active or closed, with any of the Advisor Group registered broker-dealer or registered investment advisor firms (see Privacy Policy for list of registered broker-dealer or registered investment advisor firms).

Visitor to the Website — Any individual who previously visited Advisor Group’s public websites (see Privacy Policy for list of Advisor Group’s public websites).

Other — Please select “other” for any interaction not referenced above, or if you are uncertain. Please include a description of your interaction with us.