Wedbush Privacy Policy

Important Privacy Policy Documents

GLBA Privacy Notice CCPA Privacy Policy Online Privacy Policy

• The page links to five separate privacy notices Legal Rights & Agreement Rules

Notice of Collection (clients) California Opt Out of Joint Marketing

• The page links to five separate privacy notices Legal Rights & Agreement Rules

This privacy policy, effective August 21, 2018 sets forth the policies of Wedbush Futures with respect to personal information you provide to us. This policy applies to individuals only and may be modified at any time, provided a notice of such change has been given to you. Wedbush Securities Inc. (“Wedbush”) is a California corporation with its headquarters at 225 S. Lake Ave., Penthouse Pasadena, CA 91101. Wedbush employs the trade name Wedbush Futures to conduct particular aspects of its overall business.

• Wedbush promises annual policy notices and email for material changes Legal Rights & Agreement Rules
• This policy covers individuals dealing with Wedbush Futures Legal Rights & Agreement Rules
• Wedbush may change the policy after giving notice Legal Rights & Agreement Rules

BY USING THE SITE, YOU ARE ACCEPTING THE TERMS OF THIS PRIVACY POLICY AND YOU ARE CONSENTING TO OUR COLLECTION, USE, DISCLOSURE AND PROTECTION OF YOUR PERSONAL INFORMATION AS DESCRIBED IN THIS PRIVACY POLICY. IF YOU DO NOT AGREE TO THE TERMS OF THIS PRIVACY POLICY, PLEASE DO NOT USE THIS SITE.

• Using the site is treated as accepting this privacy policy Legal Rights & Agreement Rules

With respect of the collection, holding, storage, use, and processing of your personal information:

• Wedbush promises lawful, fair and transparent processing Use & Processing

• we will process the data lawfully, fairly and in a transparent way;
• • Wedbush promises lawful, fair and transparent processing Use & Processing
• obtain the data only for valid business purposes that we have clearly explained to you, and not use the data in any way that is incompatible with those purposes;
• • Collection and use are limited to explained business purposes Use & Processing
• the data we collect will be relevant to the purposes we have told you about and limited only to those purposes; and
• • Collection and use are limited to explained business purposes Use & Processing
• we will take reasonable steps to ensure that the data is accurate and kept up to date.
• • Wedbush will take reasonable steps to keep data accurate Use & Processing

Subject to applicable legal or other requirements, we will keep the data only as long as necessary and we will use appropriate technical and/or organizational measures to ensure appropriate security of the data.

• Data is kept only as long as necessary, subject to requirements Retention & Deletion
• Wedbush commits to appropriate technical or organizational security Security & Safeguards

We need your personal information in order to provide our services to you. You provide us with personal information in a variety of ways such as;

• Wedbush receives information through agreements, communications and transactions Data Access & Collection

(1) in the subscription agreement and related documents;

• Wedbush receives information through agreements, communications and transactions Data Access & Collection

(2) client agreements or other forms;

• Wedbush receives information through agreements, communications and transactions Data Access & Collection

(3) in correspondence and conversations with Wedbush Futures representatives; and

• Wedbush receives information through agreements, communications and transactions Data Access & Collection

(4) through transactions with Wedbush Futures or its affiliates. Wedbush Futures personal information to open and service your account.

• Wedbush receives information through agreements, communications and transactions Data Access & Collection

Additionally, some information is gathered automatically during your use of this site, as described below in the section “Cookies, tracking technologies and analytics.”

• Some site information is gathered automatically Data Access & Collection

The personal information you provide us includes your name, address, telephone number, social security number; account information; assets and/or income information, date of birth, gender, age, financial details about you, such as your salary and details of other income, details of your savings, and information about your employment status. Additionally, if relevant to the product or service we provide you, your existing borrowings and loans, your marital status; family, lifestyle or social circumstances (for example, the number of dependents you have or if you are a widow or widower, or information on beneficiaries), and tax information.

• Provided data includes identity, contact, financial and employment information Data Access & Collection
• Product relevance can bring in loan, family and tax information Data Access & Collection

Some of the personal information mentioned above may come from third party sources such as third party services, databases and vendors that gather and provide information for firms like [Wedbush Futures to conduct compliance and regulatory reviews related to their clients]. These third party sources include credit reporting bureaus and the Department of the Treasury’s Office of Foreign Assets Control search tool.

• Some personal data may come from third-party compliance sources Data Access & Collection

We may disclose personal information about you to parties other than our affiliates only for the following reasons:

• Wedbush may disclose data for legal and regulatory reasons Sharing & Disclosure

• Legal and routine business reasons: We may disclose personal information if required or permitted by law. We may share information with government agencies, and self-regulatory organizations that have jurisdiction over us, for example as part of regulatory examinations or inspections. We may disclose personal information to comply with court orders, or subpoenas. We may disclose personal information to credit bureaus and the Department of the Treasury when conducting credit history and OFAC searches. We may from time to time disclose personal information to our auditors, accountants, attorneys, brokers, and back-up data storage providers for legal and business reasons. We may disclose personal information in the event of a sale of our business, transfer of our assets, or bankruptcy.
• • Service parties are directed to protect data and limit its use Security & Safeguards
  • Wedbush may disclose data for legal and regulatory reasons Sharing & Disclosure
  • Credit history and OFAC checks may involve disclosure Sharing & Disclosure
  • Professional advisers and backup providers may receive data Sharing & Disclosure
  • A sale, asset transfer or bankruptcy may involve disclosure Sharing & Disclosure
• Legal Basis: Without certain information we cannot provide you with our products or services. If providing certain information is optional, it will be marked as such.
• • Some information is necessary to receive products or services Data Access & Collection
• Transfer: We may transfer your information outside of your home country, and outside the European Economic Area. To protect such information, we undertake suitable safeguards in connection with such international transfers.
• • Information may be transferred abroad, including outside the EEA Sharing & Disclosure
• To manage your account(s): We may also disclose personal information to certain service providers we have engaged to help us accept, service, manage, and protect your account(s). Such service providers may include consultants, software vendors, temporary workers, and our third-party account administrators, among others. Such providers may transfer your information outside of your home country and outside the European Economic Area. We undertake suitable safeguards to protect your information in these instances, for example, by including language in contracts with service providers addressing the protection of personal information.
• • Service providers may receive data to help manage your accounts Sharing & Disclosure
  • Service parties are directed to protect data and limit its use Security & Safeguards
  • Information may be transferred abroad, including outside the EEA Sharing & Disclosure
• With your authorization: We may disclose personal information to certain persons at your request and/or with your consent.
• • Your request or consent can authorize disclosure Sharing & Disclosure
• Cookies, tracking technologies and analytics: Wedbush Futures uses some tracking technologies such as cookies and web beacons to record your preferences, track your use of the site, monitor traffic, and to support and improve the site.
• • Cookies and web beacons support preferences, site tracking and improvements Data Access & Collection
  • Wedbush does not respond to Do Not Track signals Data Access & Collection
• A cookie is a small file placed on the hard drive of your computer. You may refuse to accept browser cookies by activating the appropriate setting on your browser. However, if you select this setting you may be unable to access certain parts of our website. Unless you have adjusted your browser setting so that it will refuse cookies, our system will issue cookies when you direct your browser to our Website.
• • Browser settings can refuse cookies but may limit site access Data Access & Collection
• Web beacons (also referred to as clear gifs, pixel tags, and single-pixel gifs) are small electronic files that permit a website to count users who have visited those pages or and for other related website statistics (for example, recording the popularity of certain website content and verifying system and server integrity). Web beacons collect anonymous individual and/or aggregate information.
• • Web beacons count visits and gather website statistics Data Access & Collection

Wedbush Futures also uses GoogleGoogle Analytics, a web analytics service provided by Google, Inc. (“Google”). Google Analytics uses cookies or other tracking technologies to help us analyze how users interact with and use this site, compile reports on the site’s activity, and provide other services related to site activity and usage. Google’s technologies may collect information such as your IP address, time of visit, whether you are a return visitor and any referring website. This site does not use Google Analytics to gather information that personally identifies you. The information generated by Google Analytics will be transmitted to and stored by Google and will be subject to Google’s privacy policies. To learn more about Google’s partner services and to learn how to opt out of tracking of analytics by Google, visit https://www.google.com/policies/privacy/partners/.

• Google Analytics measures use and may collect IP addresses Data Access & Collection
• Google receives and stores Analytics information under its privacy policies Sharing & Disclosure
• Some site information is gathered automatically Data Access & Collection

• Automated decision making: In establishing and carrying out our business relationship with you, we generally do not use any automated decision making pursuant to the General Data Protection Regulation, (the “GDPR”).
• • Wedbush generally does not use GDPR automated decision making Use & Processing
• Retention Period: Unless stated otherwise, your personal information will be held based on the following criteria: (1) For as long as we have reasonable business needs, such as managing our relationship with you and our managing operations (2) For as long as we provide goods and/or services to you and then for as long as someone could bring a claim against us; and/or (3) Retention periods in line with legal and regulatory requirements or guidance.
• • Business needs, potential claims and legal rules govern retention Retention & Deletion
  • Data is kept only as long as necessary, subject to requirements Retention & Deletion
• Right to Object: You have the right to object to certain purposes for processing, in particular to data processed for direct marketing purposes and to data processed for certain reasons based on our legitimate interests. To exercise this right, please contact us using the contact details set out below.
• • You may object to certain processing purposes Use & Processing
  • The policy names a contact for questions and rights requests Use & Processing

GDPR Data Subject Rights: Under the GDPR, in certain circumstances, a European Economic Area resident has certain individual rights with respect to the personal information that we hold about them. In particular, such persons may have the right to: request access to any data held about them; ask to have inaccurate data amended; prevent or restrict processing of data which is no longer required; request transfer of appropriate data to a third party where this is technically feasible, and in some instances request data held about them to be deleted, provided the data is not required by Wedbush Futures; to perform services for you; provide products to you; defend a legal claim or to comply with applicable laws or regulations. Additionally, in the circumstances where you may have provided your consent to the collection, processing and transfer of your personal information for a specific purpose, you have the right to withdraw your consent for that specific processing at any time. Once we have received notification that you have withdrawn your consent, we will no longer process your information for the purpose or purposes you originally agreed to, unless we have another legitimate basis for doing so in law. To exercise any of these rights, please contact us using the contact details set out below.

• EEA residents may have a right to access their data Use & Processing
• EEA residents may request correction of inaccurate data Use & Processing
• EEA residents may prevent or restrict processing of data no longer required Use & Processing
• EEA residents may request technically feasible transfers of appropriate data Use & Processing
• EEA residents may request deletion in some instances, with stated limits Retention & Deletion
• Purpose-specific consent can be withdrawn, subject to another lawful basis Use & Processing
• The policy names a contact for questions and rights requests Use & Processing

If you decide to close your account(s) or become an inactive customer, we will adhere to the privacy policies and practices as described in this privacy policy. Wedbush Futures will treat personal information collected under prior policies, in the manner described in this policy.

• Business needs, potential claims and legal rules govern retention Retention & Deletion
• The policy still applies after closure or inactivity Account & Service Control

Wedbush Futures does not track its website’s visitors over time and across third party websites to provide targeted advertising and therefore does not respond to Do Not Track (“DNT”) signals.

• Cookies and web beacons support preferences, site tracking and improvements Data Access & Collection
• Wedbush does not respond to Do Not Track signals Data Access & Collection

This website is not intended for children and we do not knowingly collect data relating to children.

• The site is not intended for children Data Access & Collection

We maintain physical, electronic and procedural safeguards to protect your personal information. Additionally, Wedbush Futures’ site utilizes various information security measures such as secured files and buildings, internet firewalls, an intrusion detection system, encrypted data transmission, and operating procedures to protect your personal information. We direct parties performing services for Wedbush Futures, including accountants, attorneys, auditors, brokers, consultants, temporary workers, and our administrators, to protect your personal information and to only use such information to provide the services we have contracted with them to perform. Although, Wedbush Futures takes these measures, attacks by hackers and other unpreventable circumstances may compromise the security of your personal information.

• Service providers may receive data to help manage your accounts Sharing & Disclosure
• Physical, electronic and procedural safeguards protect data Security & Safeguards
• Service parties are directed to protect data and limit its use Security & Safeguards
• Wedbush commits to appropriate technical or organizational security Security & Safeguards
• Professional advisers and backup providers may receive data Sharing & Disclosure

If you have any questions concerning this privacy policy, please contact Diane Pejkovich @ 312-784-0417 or diane.pejkovich@wedbush.com.

• The policy names a contact for questions and rights requests Use & Processing

We will notify individuals of our privacy policy annually. In addition, we will notify you of any material changes to Wedbush Futures’ privacy policy via email.

• Wedbush promises annual policy notices and email for material changes Legal Rights & Agreement Rules
• Wedbush may change the policy after giving notice Legal Rights & Agreement Rules