Securities firms like ours, and other financial institutions, are required to notify clients about their privacy policies. We at Ziegler are happy to do this, because we have a longstanding policy of protecting your personal financial information from disclosure to non-affiliated parties. As described in more detail below, we use the information you provide us for the sole purpose of assisting you in financial affairs; we do not sell your private information to others.
It is the policy of Ziegler to maintain the security and confidentiality of all client information. We do not sell, nor make available, personally identifiable customer information to non-affiliated parties, except for the limited circumstances described in the following paragraph. This policy covers all types of personally identifiable customer information, including personal and financial information provided by clients at the time they open accounts, ongoing transactional activity within accounts, and other personal or financial data furnished to Ziegler by clients in the course of the account relationship. These policies apply to all of our clients who are individuals, and to both brokerage and investment advisory accounts.
As permitted by law and in order to service your account(s) with our firm, Ziegler does provide limited personally identifiable customer information described above to certain third party service providers, such as Ziegler’s clearing agent, as well as affiliates, and custodians of investment advisory accounts. In each case, we have received assurance from the third party that its respective policies are in accord with our own. We may disclose or report personally identifiable customer information in limited circumstances where we believe in good faith that disclosure is required or permitted by law, for example, to cooperate with regulators or law enforcement authorities, to respond to garnishment complaints and executions, resolve client disputes, perform credit or authentication checks, or for institutional risk control.
If you choose to access the areas of our website that are designed exclusively for account holders, you are required to provide an individually selected password. Your password is your key to access your account information. You are responsible for maintaining the confidentiality of your password. You may change your password, and are encouraged to do so at regular intervals to further protect the confidentiality of your non-public personal information. If you share your password with anyone, that other person will gain complete access to your account and related personal information.
Ziegler collects non-public personal information about its clients from the following sources:
- Account applications;
- Information related to transactions for the account of clients; and
- Information received from ancillary sources, such as consumer reporting agencies, in the course of providing financial services to clients.
The categories of information we collect include personal vital statistics, Social Security numbers and personal financial data about our clients' financial circumstances and objectives.
For Ziegler Wealth Management clients, we recognize that your relationship with your Financial Advisor is important. If your Financial Advisor’s affiliation with Ziegler ends and he or she joins a non-affiliated securities broker/dealer with which Ziegler has entered into an agreement limiting the use of information, Ziegler will permit your Financial Advisor to retain certain of your contact information, limited to your name, address, email address, phone number, and account title.
When we share personal information about you with non-affiliated third parties, they are required to limit their use of personal information to the particular purpose for which it was shared and they are not allowed to share personal information about you with others except to fulfill that limited purpose or as may be permitted or required by law. If you do not want your financial advisor to retain copies of your personal information when your financial advisor terminates his or her relationship with us, you may request that we limit the information that is shares with the new firm by notifying us in writing at: B.C. Ziegler and Company, Attn: Compliance Department, One North Wacker Drive, Suite 2000, Chicago, Illinois 60606.
We restrict access to non-public personal information about you to those employees who need to know that information to provide products or services to you. We have developed and maintain physical, electronic, and procedural safeguards to guard your non-public personal information.
Last updated April 20, 2016