Ashton Stewart

Personal Information

We collect nonpublic personal information about you from the following sources:

  • Information we receive from you on applications or other forms;
  • Information about your transactions with us, our affiliates, or others; and
  • Information we receive from a consumer reporting agency.
Nonpublic personal information may include names, addresses, telephone numbers, Social Security or tax payer identification number, assets, income, account balance, investment activity and accounts at other institutions. We will not sell your personal information.

Information Sharing

We do not disclose the nonpublic personal information we collect about our customers to anyone except in furtherance of our business relationship with them and then only to those persons necessary to effect the transactions and provide the services that they authorize (such as broker-dealers, custodians, independent managers etc.) or as otherwise provided by law.

We are permitted by law to disclose the nonpublic personal information about our customers to other third parties in certain circumstances (such as third parties that perform administrative or marketing services on our behalf or for joint marketing programs). These third parties are prohibited to use or share the information for any other purpose. If our customers decide at some point to either terminate our services or become an inactive customer, we will continue to adhere to our privacy policy, as may be amended from time to time.

Other entities, such as the Internal Revenue Service, legally may require us to provide them with client information.

Confidentiality

We restrict access to nonpublic personal information about you to our service providers who help us process your applications and service your accounts. Our agreements with the non-affiliated third parties require that they keep your non-public personal information strictly private. Furthermore, we restrict access to information about you to those Ashton Stewart & Co. employees who need to know the information in order to provide products and service to you.

Security

We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your nonpublic personal information.

Opt Out

No opt out list is maintained as we do not share or sell your information as indicated above.

For more information, or if you have questions, please callĀ +1-646-868-5410.
Affiliated Companies as of January 2013:
Ashton Stewart Holdings, LLC, the parent company of:
Ashton Stewart & Co., Inc.

DISCLOSURE OF BUSINESS CONTINUITY PLAN

In the event of a Significant Business Disruption (SBD), the firm intends to recover normal business operations in the shortest amount of time based on the situation. In the event of a SBD affecting the building or general business district in Raleigh, we will be able to resume business with a twenty-four hour time period at a secondary location. In the event of a SBD affecting the whole region, we would expect a recovery time between three to five business days. We would expect to be able to establish new accounts and allocate funds to the subaccounts within those recovery periods.