Privacy Policy
G. R. Baird Financial Group Inc.
cares about protecting its clients’ privacy. In the process of providing the
products and services you requested, we will collect, use and share certain information
you provided. This Privacy Policy explains what information we collect and how we
use that information. The policy also explains how we protect the security and
confidentiality of your information.
COLLECTION OF INFORMATION
We collect and retain the
information necessary for us to provide the products and services you requested. In
that process we may collect non-public information from you as a result of: your
completion of an insurance application or other forms; your transactions and experience
with us; or from a consumer reporting agency such as the Medical Information Bureau.
CONFIDENTIALITY OF
INFORMATION
We do not
disclose any non-public information about you, either during or after your relationship
with us, to anyone, except as permitted by law, such as to your authorized representative,
or in order to provide the products and services you requested, or to comply with
applicable laws and regulations.
DISCLOSURE TO SELF-REGULATORY ORGANIZATIONS
For
regulatory purposes, self-regulatory organizations (SRO's) require access to personal
information of current and former clients and others that has been collected or used by
Performa and other Regulated Persons. SRO's collect, use or disclose such personal
information obtained from G.R.Baird Financial Group Inc. and other Regulated Persons for
regulatory purposes, including:
- Surveillance of trading-related activity, - Sales, financial compliance, trade desk
review and other regulatory audits, - Investigation of potential regulatory and statutory
violations, - Regulatory databases, - Enforcement or disciplinary proceedings, - Reporting
to securities regulators, and - Information-sharing
with securities regulatory authorities, regulated marketplaces, other self-regulatory
organizations and law enforcement agencies in any jurisdiction in connection with any of
the foregoing.
INTERNAL
PROTECTION OF INFORMATION
We restrict access to non-public
personal information about you to those employees who need to know that information in
order to provide the products and services you requested. We maintain physical,
electronic and procedural safeguards to comply with federal regulations to guard this
information.
DISCLOSURE
OF OUR PRIVACY POLICY
This notice is posted for
informational purposes. We may amend this Privacy Policy at any time and will update
it as required.
