At Dougherty & Company LLC our clients' trust
is important to us. Because you trust us with
your financial and other personal information, we
take the safeguarding and respect of this information
seriously. In order to maintain that trust
we pledge to protect your privacy by striving to
adhere to the policy outlined below.
Personal information we obtain is limited but may
come to us through account opening documents, updates
of such information and your account history with
us. The type of information collected is personal
financial information, transactions and various other
similar items of personal information. This
information is important to our providing the best
services to you.
There may be times when such information is provided
to our affiliates to enable us to receive services
such as compliance matters. Also, we provide
such client information to J.P. Morgan Clearing Corp., our clearing
firm. The client information provided is essential
to our servicing your account. We may disclose
such information to other third parties when we believe
it necessary for the conduct of our business, or
where disclosure is required by law.
It is our policy that we do not provide current
or former customer names and account information
to any outside firms, persons or organizations (such
as catalogue or direct mail companies) unless there
is a pre-existing relationship you have established
(i.e. power of attorney, request for duplicate confirmations
or other similar items) and you have provided authority
for us to do so or in situations where we have a
legal or regulatory obligation to provide such information.
It is our policy to not provide any other businesses
with any information specific to accounts maintained
by Dougherty & Company for the purpose of marketing
or business leads.
Personal information is protected in various manners. All
employees are subject to a policy regarding confidentiality. Employees
who violate our Privacy Policy are subject to disciplinary
process. In addition, our internal systems
are secured through encryption technology, passwords,
and physical safeguards. We strive to maintain
the confidentiality of your account and any other
personal information.
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