Privacy Policy
Where Do We Obtain the Information?
The information that we have comes directly from you. This includes such information as your name, address and Social Security number that you provided on applications, agreements or other forms. In addition, we maintain records of each of your transactions and holdings processed by us.
We also may obtain information about you, such as your credit history or other facts relating to creditworthiness, from a consumer-reporting agency.
Our site's registration form requires users to give us contact information (like their name and e-mail address). We use customer contact information from the registration form to send the user information about our company. The customer's contact information is also used to contact the visitor when necessary. Users may opt-out of receiving future mailings; see the choice/opt-out section below.
We use your IP address to help diagnose problems with our server, and to administer our Web site.
Regal Discount Securities provides investment brokerage services by means of its own internal operation and those of its clearing firm and other unaffiliated third party providers such as mutual funds and variable product sponsors. Regal Discount Securities acts as an introducing broker to its clearing firm, which in turn processes the transactions and acts as the account custodian. All of the above named parties receive and maintain information about you that is related to and necessary for processing investments in your account.
Confidentiality and Security
To Whom Do We Disclose the Information?
Regal Discount Securities does not sell your nonpublic personal information. We provide information about current or former clients from the sources described above to parties outside of this firm only as described below:
- To other companies as necessary to process your business. For example, we process your mutual fund and variable product transactions through product providers with whom we have dealer-selling agreements. If you have a trading account, the information that we obtained from you is given to the clearing firm for purposes of facilitating securities trading and statement preparation. These parties must limit their use of the information to the purpose for which it was provided. For account funding, Regal Discount uses Plaid Inc. (“Plaid”) to gather your data from financial institutions. By using the service, you grant Regal Discount and Plaid the right, power, and authority to act on your behalf to access and transmit your personal and financial information from your relevant financial institution. You agree to your personal and financial information being transferred, stored, and processed by Plaid in accordance with the Plaid end user privacy policy.
- Where required by law or regulation. Examples include responses to a subpoena, court order or regulatory demand. As authorized by you, you may direct us, for example, to send account statements or other account information to a third party. As otherwise authorized or permitted by law. For example, the law permits us to respond to a request for information about you from a consumer-reporting agency.
Supplemental Information
Links
Who is Covered by the Privacy Policy?
Choice/Opt-Out
Regal Discount Securities provides users the opportunity to opt-out of receiving communications. Regal Discount Securities gives users the following options for removing their information from our database to not receive future communications or to no longer receive our service.
E-mail: service@eregal.com
Call: 1-800-927-3425
Mail your request to:
Regal Discount Securities
950 Milwaukee Ave. Suite 102
Glenview, IL 60025
Correct/Update
This site gives users the following options for changing and modifying information previously provided.
E-mail: service@eregal.com
Call: 1-800-927-3425
Mail your request to:
Regal Discount Securities
950 Milwaukee Ave. Suite 102
Glenview, IL 60025
If you have any questions about this privacy statement, the practices of this site, or your dealings with this Web site, you can contact:
Regal Discount Securities
attn: Compliance Dept.
950 Milwaukee Ave. Suite 101
Glenview, IL 60025
compliance@eregal.com