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| Privacy Policy |
We are committed to keeping the personal information collected from our potential, current and
former customers confidential and secure. The proper handling of personal information is one
of our highest priorities. We want to be sure that you know why we need to collect personal
information from you. We also want to explain to you our commitment to protect the
information you provide to us. We never sell your information to any outside third parties.
Customer Information
We collect and keep only information that is necessary for us to provide services requested by you
and to administer your business with us.
We may collect nonpublic personal information:
From you when you complete an application or other form. This includes information such as
name, address, social security number, assets, income, net worth, copies of financial documents
and other information deemed necessary to evaluate your financial needs.
As a result of transactions with us, our affiliates if any or others. This could include transactions
completed with us, information received from outside vendors to complete transactions or to effect
financial goals.
Sharing Information
We only share your nonpublic personal information with non-affiliated companies or individuals as
permitted by law, such as your representative within our firm, securities clearing firm, mutual fund
companies, insurance companies and other product vendors, or to comply with legal or regulatory
requirements. In the normal course of our business, we may disclose information we collect about
you to companies or individuals that contract with us to perform servicing functions such as:
• Record keeping
• Computer-related services
• Good faith disclosure to regulators who have regulatory authority over the company.
• Companies we hire to provide support services are not allowed to use your personal information
for their own purposes and are obligated to maintain strict confidentiality. We limit their use of your
personal information to the performance of the specific service we have requested.
We do not provide your personally identifiable information to mailing list vendors or solicitors for any
purpose. When we provide personal information to service providers, we require these providers to
agree to safeguard your information, to use the information only for the intended purpose, and to
abide by applicable law.
Internet Access
We provide a website on the Internet for our company. Any information gathered through our
website will be treated in accordance with the guidelines stated above.
Employee Access to Information
Only employees with a valid business reason have access to your personal information. These
employees are educated on the importance of maintaining the confidentiality and security of this
information. They are required to abide by our information handling practices.
Protection of Information
We maintain security standards to protect your information, whether written, spoken, or electronic.
We update and check our systems to ensure the protection and integrity of information. All written
and computer records are locked in our office, and all guests to our office are escorted.
Maintaining Accurate Information
Our goal is to maintain accurate up-to-date customer records in accordance with industry
standards. We have procedures in place to keep information current and complete, including
timely correction of inaccurate information.
E-mail
Should you send us your questions and comments via e-mail to any mailbox provided by D. R.
Williams and Company, we will share your correspondence with our Registered Representatives
and those employees or agents most capable of addressing your questions and concerns.
We will retain your communication until we have done our very best to provide you with a complete
and satisfactory response. Ultimately, we will either discard your communication or archive it
according to D. R. Williams and Company’s requirements under applicable securities laws.
Please note that, unless we expressly advise you otherwise, D. R. Williams and Company’s e-mail
facilities do not provide a means for completely secure and private communications between D. R.
Williams and Company and you, the User. Although every attempt will be made to keep your
information confidential, from a technical standpoint, there is still a risk. For that reason, please do
not use e-mail to communicate information to us that you consider to be confidential. If you wish,
you may contact us instead via telephone or by facsimile. Additional security is available to you if
you equip your Internet browser with 128-bit “secure socket layer” encryption which provides more
secure transmissions.
Disclosure of our Privacy Policy
We recognize and respect the privacy concerns of our potential, current and former customers. We
are committed to safeguarding this information. As a member of the financial services industry, we
are providing you this Notice of Privacy Policy for informational purposes and will update and
distribute it as required by law. It is also available upon request.
Need to Correct or Update Information?
If you need to update or change information, please use the following ways to contact us.
Send an email to:
don@drwilliamsandcompany.com
Send mail to:
D. R. Williams and Company
280 W. Main Street
Abingdon, VA 24210
former customers confidential and secure. The proper handling of personal information is one
of our highest priorities. We want to be sure that you know why we need to collect personal
information from you. We also want to explain to you our commitment to protect the
information you provide to us. We never sell your information to any outside third parties.
Customer Information
We collect and keep only information that is necessary for us to provide services requested by you
and to administer your business with us.
We may collect nonpublic personal information:
From you when you complete an application or other form. This includes information such as
name, address, social security number, assets, income, net worth, copies of financial documents
and other information deemed necessary to evaluate your financial needs.
As a result of transactions with us, our affiliates if any or others. This could include transactions
completed with us, information received from outside vendors to complete transactions or to effect
financial goals.
Sharing Information
We only share your nonpublic personal information with non-affiliated companies or individuals as
permitted by law, such as your representative within our firm, securities clearing firm, mutual fund
companies, insurance companies and other product vendors, or to comply with legal or regulatory
requirements. In the normal course of our business, we may disclose information we collect about
you to companies or individuals that contract with us to perform servicing functions such as:
• Record keeping
• Computer-related services
• Good faith disclosure to regulators who have regulatory authority over the company.
• Companies we hire to provide support services are not allowed to use your personal information
for their own purposes and are obligated to maintain strict confidentiality. We limit their use of your
personal information to the performance of the specific service we have requested.
We do not provide your personally identifiable information to mailing list vendors or solicitors for any
purpose. When we provide personal information to service providers, we require these providers to
agree to safeguard your information, to use the information only for the intended purpose, and to
abide by applicable law.
Internet Access
We provide a website on the Internet for our company. Any information gathered through our
website will be treated in accordance with the guidelines stated above.
Employee Access to Information
Only employees with a valid business reason have access to your personal information. These
employees are educated on the importance of maintaining the confidentiality and security of this
information. They are required to abide by our information handling practices.
Protection of Information
We maintain security standards to protect your information, whether written, spoken, or electronic.
We update and check our systems to ensure the protection and integrity of information. All written
and computer records are locked in our office, and all guests to our office are escorted.
Maintaining Accurate Information
Our goal is to maintain accurate up-to-date customer records in accordance with industry
standards. We have procedures in place to keep information current and complete, including
timely correction of inaccurate information.
Should you send us your questions and comments via e-mail to any mailbox provided by D. R.
Williams and Company, we will share your correspondence with our Registered Representatives
and those employees or agents most capable of addressing your questions and concerns.
We will retain your communication until we have done our very best to provide you with a complete
and satisfactory response. Ultimately, we will either discard your communication or archive it
according to D. R. Williams and Company’s requirements under applicable securities laws.
Please note that, unless we expressly advise you otherwise, D. R. Williams and Company’s e-mail
facilities do not provide a means for completely secure and private communications between D. R.
Williams and Company and you, the User. Although every attempt will be made to keep your
information confidential, from a technical standpoint, there is still a risk. For that reason, please do
not use e-mail to communicate information to us that you consider to be confidential. If you wish,
you may contact us instead via telephone or by facsimile. Additional security is available to you if
you equip your Internet browser with 128-bit “secure socket layer” encryption which provides more
secure transmissions.
Disclosure of our Privacy Policy
We recognize and respect the privacy concerns of our potential, current and former customers. We
are committed to safeguarding this information. As a member of the financial services industry, we
are providing you this Notice of Privacy Policy for informational purposes and will update and
distribute it as required by law. It is also available upon request.
Need to Correct or Update Information?
If you need to update or change information, please use the following ways to contact us.
Send an email to:
don@drwilliamsandcompany.com
Send mail to:
D. R. Williams and Company
280 W. Main Street
Abingdon, VA 24210