The Roosevelt Investment Group, LLC (“we”, “us”), collects, uses, and shares personal data to provide services and products to its customers and in connection with its business operations. This notice is designed to help you understand what information we collect and how we use it.
Categories of Information We May Collect
In the normal course of business, we may collect nonpublic personal information about you, including the following types of information:
- Information you provide in an investment management agreement and other forms (such as name, address, social security number, date of birth, income, and other financial-related information).
- Data about your securities transactions (such as the types of investments you have made and your account status).
- Data about your interactions with us (such as through account or information inquiries via mail, email, website, or telephone).
- Information we obtain through account opening documents and custodial statements.
How We Use and Share Your Information
We use your information to provide you with financial products and services, and for our own internal business purposes.
We share your nonpublic personal information in the following ways:
- We may share our clients’ nonpublic personal information with our staff and nonaffiliated third parties which are service providers to us. Our service providers include our accountants, attorneys, consultants and vendors.
- If you have given us permission, we may share information with anyone you designate, such as your relatives or service providers (such as an attorney or accountant).
- We may share client information with entities or people who referred clients to us, and pursuant to a joint marketing agreement.
- We may disclose nonpublic personal information as required by law (such as to respond to a subpoena) or to satisfy a request from a regulator and/or to prevent fraud. Without limiting the foregoing, we may disclose nonpublic personal information to governmental entities and others in connection with meeting our obligations to prevent money laundering including, without limitation, disclosure that may be required by the Uniting and Strengthening America Act by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism (USA PATRIOT) Act of 2001 and the regulations promulgated thereunder.
We do not share your nonpublic personal information with unaffiliated third parties to market their goods and services to you.
Confidentiality and Security
We restrict access to our clients’ nonpublic personal information to employees and agents who need to know that information to provide products and services to us and our clients. We maintain reasonable physical, electronic, and procedural safeguards to protect our clients’ nonpublic personal information.
If we dispose of clients’ nonpublic personal information that we are not legally bound to maintain, we will do so in a manner that reasonably protects such information from unauthorized access. The same policy also applies to former clients.
Information we collect about users of our website and social media sites
We collect personal information about users through our website and our webpages on social media sites such as LinkedIn, which may include the following:
- Information users provide when they enter information on our website, such as when submitting a “Contact Us” message (such as name and email address);
- Information users provide when requesting literature such as applications or prospectuses (such as name, address, phone number, and email address);
- Information users provide when posting content on social media sites;
- Information users provide in their social media bio;
- Information captured in our web logs such as device information (e.g. device brand and model, screen dimensions), unique identification numbers (e.g. IP address and device ID), and browser information (e.g. URL, browser type, pages visited, date/time of access); and
- Information captured by cookies (see section on “Cookies and how we use them” below).
To learn how we use and share this information, please see the sections titled “How We Use and Share Your Information,” “Cookies and how we use them,” and “Website analytics and online tracking”.
Cookies and how we use them
- To assist you in navigation;
- To analyze your use of our products, services or applications;
- To assist you with our promotional and marketing efforts;
- To maintain and enhance our website and the services and information we offer; and
- To analyze trends in our users’ behavior.
Website analytics and online tracking
If you have any questions regarding this privacy notice, please contact Steven Weiss at 646-452-6700 or by mail at 570 Lexington Avenue, Suite 1800, New York, NY 10022.
Last updated: February 25, 2021