Optcapital and Optsecurities are dedicated to protecting your privacy and the security of your data. We recognize that you expect your confidential information to be handled in a professional, confidential manner. Our policies and procedures comply with Regulation S-P and other federal regulations. Our processes are designed to safeguard the privacy and security of your financial information. We continually update our secure technology and processes to protect your data.

We are required by the USA Patriot Act and FINRA Rule 2090 (Know Your Client) to collect certain information from all clients in order to verify client identity, effectively service accounts, and comply with applicable laws, regulations and rules. We employ physical, electronic and procedural safeguards to protect information about our clients and to prevent fraud. We will take appropriate measures to safeguard client information, including using reasonable steps to establish a secure connection with clients’ web browsers to assure privacy. We use industry accepted security practices and technologies such as encryption and firewalls designed to protect systems from intrusion. We validate your identity through confidential access codes before we allow online access to your accounts.

Optcapital and Optsecurities do not share your non-public personal information with other companies except in connection with servicing or processing your account in accordance with instructions we receive from you or your plan administrator. We restrict access to your personal and account information to those employees who need to know that information to provide services to you. We train our employees to protect information about our clients. When you contact us, we will ask you for information only you should know in order to protect the security and confidentiality of your data.

We review and update our policies and procedures annually to reflect changing regulations, requirements and technologies. Our Privacy Policy is available to clients on our Optlink® website.