Privacy and Personal Information

Gar Wood Securities, LLC has a strict policy of protecting the confidentiality and security of information we collect about our clients. We do not share information about you outside of Gar Wood Securities, LLC without your expressed consent except as described below.

In establishing an account with Gar Wood, it is necessary that you provide the firm with certain personal information necessary to ensure that your account is managed consistent with your investment objectives and personal financial goals. This information will generally be derived from the following sources.

  • Information we receive from you on the New Account Form or other forms, and:
  • Information about your securities transactions with the firm or advisers that may be providing financial services to you.

It is the policy of Gar Wood that we do not disclose any non-public personal information about you to anyone except authorized employees, affiliated third parties or as required by law or court order. Information is shared with non-affiliated third party service providers only as necessary to execute and/or settle transactions in your account.

If you decide to close your account(s) with Gar Wood, or become an inactive customer, Gar Wood will adhere to the privacy policies and practices as described in this notice.

Gar Wood restricts access to your personal and account information to those employees and authorized third parties who need to know that information to provide account services and related support to you. The firm maintains physical, electronic, and procedural safeguards to guard your non-public personal information.

Should you have any questions regarding Gar Wood’s policy, please contact your Gar Wood representative.


Gar Wood Securities, LLC

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If you have any questions about our policies or disclosures, please contact our Compliance Department at the number below.