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Privacy Notice
Protecting Your Confidential Information

We, at JM Financial value our relationship with each of our customers, we appreciate the trust that you have placed in us. We recognize that you have concerns about the confidential personal information we obtain about you throughout our relationship. Because protecting your confidential information is important to us, we have adopted a privacy policy which governs how the confidential information we obtain about you is used and maintained. We pledge to protect that information and ensure that it remains private. The information in this notice summarizes the categories of personal information that we collect about you, how that information is handled, and how we protect that information.

We do not disclose any nonpublic personal information about our customers to anyone, except as required or permitted by law. JM Financial does not sell personal information obtained about you with companies that are not associated with JM Financial for the purpose of marketing their products or services to you.

Collection and Use of Personal Information

The privacy policy set forth in this notice applies to JM Financial and affiliated companies of JM Financial. We collect nonpublic personal information about you from the following sources, solely for the purposes specified:

  • Information we receive from you on account application or other forms, such as name, address, federal tax identification number, income, assets and similar information. We use this information to administer the account we maintain on your behalf, process transactions requested by you, respond to our inquiries, evaluate your investments needs, and identify other products and services that may interest you.
  • Information about your transactions with us or our affiliates, such as your account balance, transactions history and payment activity. This information is used to process transactions you request and ensure the accuracy of records and reports we maintain that relate to your account. We may also collect various other types of data, such as transaction, site navigation and optional survey information, in connection with your use of online services we make available to you, either directly or through other entities. We use this information in order to improve the quality of the services we offer you.
  • Information we receive from consumer reporting agencies, such as credit relationships and credit history. We use this information to help determine your eligibility for JM Financial products and services, collect or report debts owed to us, and protect our rights and property.
Sharing of Information within JM Financial
  • The information we collect relating to your transactions and experiences with JM Financial or any affiliate may be shared among JM Financials affiliates. We may also share some or all of the information we receive about you from consumer reporting agencies, such as credit information.
Sharing of Information Outside JM Financial

As permitted by law, we may disclose some or all the information described above with entities that are not with JM Financial for the purpose of servicing your JM Financial accounts, improving our services, providing products or services you’ve requested from JM Financial, and informing you about products available from JM Financial that may be of interest to you. Such companies may include:

  • Companies that are the source or origin of financial services offered by JM Financial, such as banks, securities broker-dealers, mutual fund companies and insurance companies.
  • Non-financial companies, such as companies that perform services on our behalf, e.g., check printers, quote vendors, companies that prepare account statements for us, companies that assist us in communicating or marketing our services.
  • Others, such as independent contractors or technical system consultants who program our software, government agencies and regulator, consumer reporting agencies, and other outside entities as permitted or required by applicable laws.
Protecting the Confidentiality of Your Personal Information

All JM Financial employees are instructed to use strict standards of care regarding the confidentiality of your nonpublic personal information as outlined in firm policies. Employees not adhering to our firm policies are subject to disciplinary action. We require outside companies and independent contractors to whom we provide customer information for marketing, servicing, or processing to enter into a confidentiality agreement that restricts the use of the information to those purposes. We maintain physical, electronic, and procedural safeguard that comply with applicable laws to protect your nonpublic personal information. If you have any questions or comments about our privacy policy, please contact your JM Financial broker or sales representative.