Dear Westport Capital Markets, LLC Customer: The following is being provided to you as required by the Securities and Exchange Commission ("SEC") Regulation S-P, "Privacy of Consumer Financial Information". This notice will be sent to (a) all new customers, (b) all existing customers annually. Should you have any questions or concerns regarding this notice, please contact Marisa Maher at 203-222-8933.
Our Commitment to Privacy :Westport Capital has a standing policy of protecting the confidentiality and security of information we collect about our clients. We will not share non-public information about our clients ("Information," as further described below) with third parties, except for the specific purposes described below. This notice describes the Information we may gather and the circumstances under which we may share it.
Why We Collect & How We Use Information: We collect and use Information from our clients and from third party sources in order to (1) deliver service in the course of our client engagements and (2) to satisfy our obligations as a broker-dealer regulated by the Financial Industry Regulatory Authority, (FINRA), the U.S. Securities Exchange Commission (SEC) and other state and federal regulatory agencies.
How We Gather Information: We get Information directly from our clients in the course of our engagements and through third party sources, including reporting agencies, databases and other sources. This Information may relate to the finances, employees, customers, or other information, as well as transactions and interactions with, Westport Capital or others.
Disclosure of Information: We may disclose Information (as described above) as directed by our clients as necessary for the execution of our engagements to counterparties under non-disclosure agreements acceptable to our clients, or where the law requires disclosure. It is Westport Capital’s policy to require all third parties who receive any Information to sign strict confidentiality and non-disclosure agreements.
Access To and Correction of Information: If our clients desire to review any file we may maintain, please contact us. If our clients notify us that any Information is incorrect, we will review it and make revisions as appropriate. Information collected in connection with, or in anticipation of, any claim or legal proceeding may not be made available.
Online Privacy Notice
Westport Capital takes its responsibility to maintain the confidentiality of information that it receives from its clients and prospective clients very seriously. Accordingly, parties should know that when visiting the Westport Capital website, one is not required to provide any personal information.
Customer complaints may be directed to Westport Capital Markets, LLC, 257 Riverside Avenue, Westport, CT 06880 or by calling 203-222-8933.