Mercadien Securities, LLC / Mercadien Asset Management PrivacyPolicy Notice


For the purpose of this document, the term “our customers” refers to you.


Mercadien Securities, LLC recognizes the importance of protecting the confidentiality of nonpublic personal information that we collect about our customers. The information is used to ensure accuracy in reporting and recordkeeping, to maintain our customers’ accounts, and to carry out requested transactions. Keeping this information secure is a top priority for us, and we are pleased to share with you our privacy policy.


  1. We collect nonpublic personal information about our customers from the following sources:
    1. Applications or other forms (such as name, address, social security number, assets, andincome).
    2. Customers’ transactions with us, their financial organizations, or
    3. Consumer reporting agencies (such as credit worthiness and credit history).
  2. Our internal data security policies restrict access to nonpublic personal information to authorized employees. We maintain physical, electronic, and procedural safeguards that are designed to comply with federal standards to guard our customers’ nonpublic personal information. Employees who violate our data security policies are subject to disciplinary action, up to and including
  3. We may disclose nonpublic personal information about our customers to our affiliates, such as banks, mortgage lenders, and securities broker-dealers, in order to provide our customers with access to product offerings and product upgrades, and in order for our affiliates to provide services to us, such as data processing and loan servicing. We may disclose to our affiliates all of the information that we collect, as described above.
  4. We may disclose nonpublic personal information about our customers to nonaffiliated third- parties withwhom we have contracted to perform services on our behalf, such as, printing, mailing, fraud prevention, and data processing services, as well as nonaffiliated financial organizations with which we have clearing We may disclose all of the information that we collect, as described above. We may also disclose nonpublicpersonal information about our customers as permitted or required by law.
  5. We do not disclose nonpublic personal information about former customers, except as permitted orrequired by
  6. If our customers visit our internet web site, we may occasionally use a “cookie” in order to provide better service, to facilitate our customers’ use of the web site, to track usage of the web site, and to address security hazards. A cookie is a small piece of information that a web site stores on a personal computer and which it can later retrieve.We may use cookies for some administrative purposes, for example, to store our customers’ preferences for certain kinds of information. None will contain information that will enable anyone to contact our customers via telephone, e-mail, or any other means. If our customers are uncomfortable with the use of cookie technology, they can set their browsers to refuse cookies. Certain of our services, however, could be dependent on cookies and our customers maydisable those services by refusing
  7. The Firm does not currently receive consumer report information on individual clients; however, in the future, if we begin to receive said information, we will ensure proper disposal of consumer report information as specified in Reg S-P.


If you have any questions on our Privacy Policies, do not hesitate to contact us. Thank you.