PRIVACY NOTICE

To Our Clients

We at Stephens Inc. are committed to protecting your privacy. We have a strict privacy policy to continue to protect financial information that we may receive about you. This Privacy Notice outlines the conditions under which it may be necessary for us to disclose nonpublic personal information about you to third parties. Our privacy policy applies to both current and former clients of Stephens Inc.

INFORMATION WE COLLECT

We collect nonpublic personal information about you from the following sources:

  • Information we receive from you on applications or other forms or through our web site;
  • Information about your transactions with us, our affiliates, or others; and
  • Information we receive from third parties such as consumer reporting agencies.

CONFIDENTIALITY AND SECURITY

We restrict access to nonpublic personal information about you to our employees who work with that information to provide products and services to you. Our employees agree to follow our privacy policy. We maintain physical, electronic and procedural safeguards that comply with federal standards to guard your nonpublic personal information.

DISCLOSURE

We may disclose all of the information we collect to non-affiliated third parties for the purpose of assisting us in providing financial products and services. These non-affiliated third parties must agree to adhere to the same privacy practices outlined in this Customer Privacy Notice with respect to your information that they may receive from us.

In addition, Stephens Inc. has signed the Protocol for Broker Recruiting (“Protocol”) which allows the broker servicing your account to take certain limited information in the event he/she leaves Stephens Inc. and joins another firm which has also signed the Protocol. The information your broker can take is limited to your name, your address, your phone number, your email address and the title of your account. In the event you choose to keep this information confidential and not let it be taken by the broker servicing your account click here to Opt Out.

We do not disclose your nonpublic personal information to anyone else, except as required or permitted by law.