Privacy Policy

Schmitz Capital Partners Privacy Policy

Schmitz Capital Partners (SCP”) is committed to protecting your privacy. Maintaining the trust and confidence of our clients is of paramount importance to SCP. We place a high priority on the confidentiality and security of the personal and account information that you share with us in the normal course of doing business. That is why we want you to understand how we protect your privacy when we collect and use information about you, and the steps that we take to safeguard that information.

Information We Collect

In connection with providing investment products, financial advice, or other services, we obtain non-public personal information directly from you in writing, by phone, electronically, or any other means, including:

  • Information we receive from you on account applications, such as your address, date of birth, Social Security Number, occupation, financial goals, assets and income;
  • Information about your transactions with us, our affiliates, or others; and
  • Information received from credit or service bureaus or other third parties, such as your credit history or employment status.

The information we collect is limited to that which is required to provide you with personalized financial services and products.

Categories of Information We Disclose

We may disclose all information that we collect. Schmitz Capital Partners and its affiliates do not sell customer lists and will not sell your name to telemarketers.

Categories of Parties to Whom We Disclose

We do not disclose nonpublic information about you, or your accounts with us, to anyone, except as directed by you, as necessary to service your account or process a transaction, or as otherwise permitted by law. Information may be shared between Schmitz Capital Partners and its affiliates in the normal part of business operations, or course of your choosing certain products that met your specific investment needs. In all such instances, your information is strictly protected and is used only for its intended purpose. We typically disclose information under the following circumstances;

  • To your authorized Registered Representative and his or her manager;
  • To our parent companies or affiliates, to the extent permitted by law;
  • To entities that perform services for us or function on our behalf, including financial service providers, such as a clearing broker-dealer, investment company, or insurance company. For example, we share information with our non-affiliated broker-dealer, Royal Alliance Associates, Inc., and our clearing firm, Pershing LLC, as necessary to effect, administers or enforce transactions that you request or authorize.;
  • To consumer reporting agencies,
  • To third parties who perform services on our behalf;
  • To your attorney, trustee or anyone who represents you in a fiduciary capacity;
  • To our attorneys, accountants or auditors; and
  • To government entities, regulators, law enforcement authorities or other third parties in response to subpoenas or other legal process as required by law or to comply with regulatory inquiries.

How We Use Information

Information may be used among the affiliate companies that perform support services for us, such as data processors, technical systems consultants and programmers, or companies that help us market products and services to you for a number of purposes, such as:

  • To protect your accounts from unauthorized access or identity theft;
  • To process your requests such as securities purchases and sales;
  • To establish or maintain an account with an unaffiliated third party, such as a clearing firm (Pershing LLC) and/or a broker-dealer (Royal Alliance Associates, Inc.) providing services to you and/or Schmitz Capital Partners;
  • To service your accounts, such as by issuing checks and account statements;
  • To comply with Federal, State, and Self-Regulatory Organization requirements; and
  • To keep you informed about information of interest to you.

Control of Your Password and Personal Information

You are solely responsible for all actions taken with your username and password. Therefore, we recommend that you do not disclose your password to any third parties. You may not allow others to use your username or password to access your account information or use any part of this Site. If your password has been compromised for any reason, you should contact SCP immediately for a new password.

You can review and change the information you submit to SCP by contacting your SCP Adviser. You can change your User ID, email address, contact information, financial information, other personal information and user preferences. You must promptly update your personal information if it changes or is inaccurate.

Upon your request, we will deactivate your password and remove your contact information and financial information from our active databases. To make this request, contact your SCP Adviser. Your password will be deactivated promptly based on your account activity and in accordance with our deactivation policy and applicable law.

We will retain in our files the personal information you have asked us to remove to prevent fraud, resolve disputes, troubleshoot problems, assist with any investigations, enforce our Terms of Use and comply with legal requirements. Therefore, you should not expect that your personal information will be completely removed from our databases in response to your requests. However, such personal information will only be available to select employees, service providers and governmental persons or entities as outlined above in “ Categories of Parties to Whom We Disclose”.

Our Security Policy/Protection of Information

We maintain physical, electronic, and procedural security measures that comply with federal standards to safeguard confidential client information and protect your personal information from unauthorized access or use. We restrict access to your nonpublic personal and account information to those individuals who need to know that information in order to provide products and services and to you and perform their respective duties. All employees of SCP are required to protect and maintain the confidentiality of your information in accordance with our policies and procedures.

If you believe that someone has obtained unauthorized access either to your account with us or to non-public personal information about you, please notify SCP immediately. You should also report the crime to your local law enforcement agency. For information regarding identity theft and ways to protect your personal information you may contact the Federal Trade Commission ("FTC") web site at http://www.consumer.gov/idtheft.

Closed or Inactive Accounts

If you decide to close your account(s) or become an inactive customer, our Privacy Policy will continue to apply to you and we will continue to adhere to the privacy policies and practices described in this notice.

Complaint Notification

Please direct complaints to: Schmitz Capital Partners, 655 Redwood Highway, Suite 109, Mill Valley, CA 94941.

Changes to this Policy

Please note this Privacy Policy may change from time to time. We may amend this Privacy Policy at any time and for any reason. If we make any substantial changes in the way we use or disseminate confidential information, we will notify you. If you have any questions concerning this Privacy Policy, please feel free to contact us any time at mike@schmitzcapital.com or write to: Schmitz Capital Partners, 655 Redwood Highway, Suite 109, Mill Valley, CA 94941.

Additional Information

The examples contained within this Privacy Policy are illustrative only and are not intended to be exclusive.

This Privacy Policy applies to Schmitz Capital Partners.

For access to Royal Alliance Associates, Inc.’s Privacy policy, please visit the following website: http://www.royalalliance.com/privacy-policy.

For access to Pershing LLC’s Privacy Policy, please visit the following website: http://www.pershing.com/privacy_policy.html