Privacy Notice

ProEquities Consumer Privacy Policy

As of November 20, 2017

Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share and protect your personal information. This notice is being provided on behalf of ProEquities, Inc. Please read this notice carefully to understand what we do.

The types of personal information we collect can include: Social Security number, your income and assets, investment experience, account transactions and retirement assets. When you are no longer our customer, we will continue to hold your information and share it as described in this notice. All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list the reasons why financial companies can share their customers’ personal information, the reasons ProEquities chooses to share personal information and whether you can limit this sharing.

Reasons We Can Share Your Personal Information       Do We Share?Can You Limit Sharing?
For our everyday business purposes, such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus        YesNo
For our marketing purposes to offer our products and services to you        NoWe don't share
For joint marketing with other financial compaines        YesNo
For our affiliates’ everyday business purposes—information about your transactions and experiences        YesNo
For our affiliates’ everyday business purposes—information about your creditworthiness        NoWe don't share
For non-affiliates to market to you—for clients with accounts established with ProEquities representatives at banks or credit unions        NoWe don't share
For non-affiliates to market to you—for clients with accounts established with ProEquities independent representatives

Note:  If your independent representative terminates his or her relationship with us and moves to another brokerage or investment advisory firm, we or your independent representative may disclose your personal information to the new firm, unless you instruct us not to by completing the completed Privacy Choices Notice at



  • Affiliates – Companies related by common ownership or control. They can be financial and non-financial companies.  
  • Non-affiliates - Companies not related by common ownership or control. They can be financial and non-financial companies. The Non-Affiliates we may share information with include an independent representative’s new brokerage or investment advisory firm if they choose to leave ProEquities.
  • Joint Marketing - means a formal agreement between non-affiliated financial companies that together market financial products or services to you

Information for California, North Dakota, and Vermont Customers
In response to applicable state law, if the mailing address provided for your account is in California, North Dakota, or Vermont, we will automatically treat your account as if you do not want us to disclose your personal information to non-affiliated third parties for purposes of them marketing to you, except as permitted by the applicable state law.

How We Collect and How We Protect
How does ProEquities protect my personal information?To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. Our online environment uses security technologies, including layered security and access controls over personal information. For further information, please visit the page How ProEquities Secures Your Information.
How does ProEquities collect my personal information?We collect your personal information, for example, when you:
• Open an account
• Apply for insurance
• Seek advice about your investments
• Enter into an investment advisory account
• Tell us about your investment or retirement portfolio

We also collect your personal information from others such as credit bureaus, affiliates or other companies.
Why can't I limit all sharing?Federal law gives you the right to limit only: 
• Sharing for affiliates’ everyday business purposes— information about your creditworthiness
• Affiliates from using your information to market to you 
• Sharing for non-affiliates to market to you

State laws and individual companies may give you additional rights to limit sharing. See below for more on your rights under state law.

Privacy Choices Notice:  The Ability to Opt-Out or Opt-In When Your Advisor Changes Firms


If you would like to limit the personal information that your financial advisor could disclose or take if moving to another brokerage or investment advisory firm (“New Firm”) and terminates the relationship with ProEquities (“Opt-Out”), you may: (1) access, complete the appropriate form and check the “opt-out” box , and mail the form to ProEquities; or (2) call ProEquities Client Services at 1-800-288-3035, option 1 and make the election. You may withdraw your opt-out choice at any time by completing the same form to indicate you are revoking your prior “opt-out,” and returning to ProEquities.



If your primary address is in a state that requires your affirmative consent to share your personal information with the New Firm, then you must give your written consent before we will allow your financial advisor to take your personal information to that New Firm. Please be aware that ProEquities entered into the Protocol for Broker Recruiting (the “Protocol”) on November 30, 2016, with certain other brokerage firms, and if ProEquities remains a signatory to the Protocol as of the effective date of your advisor’s termination from ProEquities, then ProEquities will permit your financial advisor to take your name, address, phone number, email address and the account title of the accounts serviced (or additional information as permitted if the Protocol is amended) while your financial advisor was associated with ProEquities if your advisor joins one of these Protocol firms. The retention of this limited information by your advisor under the Protocol may occur even if you have exercised your rights to limit information sharing as described above (i.e., opted-out”). To make your opt-in election, go to, complete the Privacy Election form, check the “opt-in” box , and mail the form to ProEquities.  

To access the Privacy Election Form, click here.

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