Privacy Policy

StoneCastle Securities LLC and its affiliates are committed to maintaining our clients’ privacy, and protecting the information we receive is of primary importance to us.

INFORMATION WE COLLECT
StoneCastle Securities LLC may collect certain nonpublic information about its institutional customers that is required, i.e., tax id, custodian information, etc., to perform and deliver financial and/or clearing services and products.

INFORMATION WE DISCLOSE
We do not disclose any nonpublic information about our customers or former customers to our affiliates or third parties, except as permitted or required by law, or as necessary to provide services to StoneCastle's customers. We may disclose the information we collect, as described above, to certain nonaffiliated third parties such as our clearing firm, attorneys, accountants, auditors, and persons or entities that are assessing our compliance with industry standards. We enter into contractual agreements with all nonaffiliated third parties that prohibit such third parties from disclosing or using the information other than to carry out the purposes for which we disclose the information.

CONFIDENTIALITY AND SECURITY
We restrict access to nonpublic information to employees who require it in the delivery of our financial products & services to our institutional customers. Employees are prohibited, either during or after termination of their employment, from disclosing nonpublic information to any person or entity outside the firm, including family members, except under the circumstances described above. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard our institutional customers’ nonpublic information.

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WEBSITE RELATED PRIVACY

COOKIES AND TRACKING TECHNOLOGIES

We use cookies and similar technologies to operate and improve our website. Cookies are small text files placed on your device when you visit our site. Our site uses the following:

Necessary Cookies — Required for the website to function properly, including security features and form protection. These are always enabled and cannot be disabled.

Performance and Analytics Cookies — We use Squarespace's built-in analytics to collect anonymized, aggregated information about how visitors use our site, such as pages visited and general traffic patterns. This information does not identify individual visitors and is used solely to understand and improve website usage. These cookies are disabled by default and are only enabled if you choose to accept them through our cookie preference center.

Advertising Cookies — We do not use advertising or marketing trackers of any kind, including third-party tools such as social media pixels or behavioral advertising cookies. Advertising cookies are disabled on this site.

You can manage your cookie preferences at any time through the cookie preference center accessible from the banner displayed on our site, or through your browser settings.

THIRD-PARTY SERVICES

Google Fonts. Our website uses Google Fonts to ensure consistent typography across devices. Google Fonts does not set cookies; however, it does transmit your IP address to Google's servers as part of the font-loading process. This is standard practice for websites using web fonts and does not involve tracking or advertising. For more information, please see Google's Privacy Policy at policies.google.com/privacy.

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CALIFORNIA CONSUMER PRIVACY RIGHTS (CCPA / CPRA)

Notice to California Residents. If you are a California resident, you may have certain rights under the California Consumer Privacy Act (CCPA), as amended by the California Privacy Rights Act (CPRA), with respect to your personal information. These rights may include:

The right to know what personal information we collect, use, or disclose about you.

  • The right to delete personal information we have collected from you, subject to certain exceptions.

  • The right to correct inaccurate personal information we maintain about you.

  • The right to opt out of the sale or sharing of your personal information. We do not sell or share personal information as those terms are defined under California law.

  • The right to non-discrimination for exercising any of your privacy rights.

Please note that certain personal information we collect may be exempt from CCPA/CPRA requirements to the extent it is subject to the Gramm-Leach-Bliley Act (GLBA) or other applicable federal financial privacy laws governing our activities as a registered investment adviser and broker-dealer.

To submit a privacy request or inquiry, please contact us at xlarios@stonecastlesecurities.com, or mail to:

StoneCastle Securities, LLC
152 West 57th Street, 52nd Fl.
New York, NY 10019

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