Montgomery Securities LLC is not a registered broker-dealer not a member of The Financial Industry Regulatory Authority (FINRA) or the Securities Investor Protection Corporation (SIPC).

However, all securities transacted by Montgomery Securities LLC are through C2M Securities who is a registered broker-dealer and a member of The Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). Furthermore, all registered representatives are licensed through C2M Securities.

Privacy Notice
In accordance with the Federal Financial Privacy Law (Gramm-Leach-Bliley Act, Nov. 1999), the following are Montgomery Securities LLC (Monty) privacy policies applicable to non-public personal information gained from this website and to its business relationships in general:

Collecting Information
In the course of our relationship with you, we receive or develop information about you necessary to better service your account and your financial needs. This information may include: information you provide to us orally or on applications or other forms; information we develop about you in the course of providing our services to you, such as your account balance(s), the assets that we manage and the transactions we place on your behalf; and technical information we gather through your access to our website.

Protecting Information
As a general rule, we do not sell, share or otherwise disclose this private information with others unless such sharing of information is necessary to provide our services to you. For instance, there may be sharing of information between the subsidiaries of Monty, where each subsidiary is rendering a service to a customer common to both. Furthermore, we share information with certain third parties, such as our clearing agent, custodian, administrators, prime brokers, attorneys and auditors who, in the ordinary course of providing their services to us, may require access to information containing your non-public personal information. In addition, we may disclose your non-public personal information to others with your consent, where required by law or judicial process (such as a court order), or otherwise to the extent permitted under the Federal Financial Privacy Law.

We restrict access to your non-public personal information to those associates who need to know such information in order to provide services to you. If we are not comfortable that a service provider is already bound by duties of confidentiality (i.e., attorneys and auditors), we will require contractual assurances that the service provider will maintain the confidentiality of any of the information obtained from us. In addition, we maintain physical, electronic and procedural safeguards to protect your non-public personal information. We continually assess new technology and upgrade our system when appropriate to better protect information.

In accordance with the USA PATRIOT Act and other regulations applicable to it, Monty advises users of its website that it will fully comply with any and all regulations which may be promulgated by the U.S. Treasury Department under the USA PATRIOT Act, including those that encourage financial institutions to share information with regulatory agencies and law enforcement about individuals or organizations that may be "reasonably suspected based on credible evidence" of engaging in terrorist acts or money laundering. Accordingly, any information provided to Monty may be provided to regulatory, government or law enforcement agencies if requested or if deemed appropriate by Monty.

Contact Us
If you have any questions about our practices with respect to your non-public personal information, you may write to us at 655 Montgomery Street, 7th Floor, San Francisco, CA 94111 or call us at (415) 483-9630.