Privacy Policy

StoneCastle Securities LLC and its affiliates are committed to maintaining your right to privacy, and protecting the information we receive as part of our relationship with you is of primary importance to us.

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.

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.

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.