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Privacy Policy:Equus Financial Consulting LLC believes it is essential that we maintain the privacy of the nonpublic personal information that you provide to us and that we obtain in connection with providing our products and services to you. Equus Financial Consulting LLC 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 with third parties, except for the specific purposes of brokering a transaction. Equus Financial Consulting LLC limits the use, collection, and retention of such information to what we believe is necessary or useful to conduct our business and to provide and offer you quality services, as well as other opportunities that may be of interest to you. Information collected may include, but is not limited to name, address, telephone number, tax identification number, date of birth, medical records, estate information, employment status, annual income, and net worth. In providing products and services to you, we collect nonpublic personal information about you from the following sources:
- Information we receive from you on applications or other forms (e.g. investment/insurance applications, new account forms, and other forms and agreements);
- Information about your transactions with us, our affiliates, or others (e.g. broker/dealers, life settlement providers, insurance agents, or other chosen investment sponsors; and
- Information we receive from consumer reporting agencies or attending physicians, as well as other various materials we may use to put forth appropriate inforamtion for purposes of a transaction. Because we must maintain accurate records, Equus Financial Consulting LLC has established procedures to maintain your information and to keep such information protected,current and complete.
Equus Financial Consulting LLC places strict limits on who receives specific information about your policy/account(s), if applicable, and other personally identifiable data. As a rule, we do not disclose nonpublic personal information we collect to others. However, because we rely on certain third parties for services that enable us to provide our services to you, such as our attorneys, life settlements licensed providers, institutional investors, and custodians who, in the ordinary course of providing their services to us, may require access to information, we may share non-public personal information with such third-parties. Additionally, we will share such information where required by legal or judicial process, such as a court order, or otherwise to the extent permitted under the federal privacy laws.
Our employees, registrants or independent contractors are required to protect the confidentiality of Information and to comply with our established policies. They may access Information only when there is an appropriate reason to do so, such as the execution of transactions on your behalf. We also maintain physical, electronic and procedural safeguards to protect Information, which comply with Federal standards. Employees who violate our Privacy Policy are subject to internal disciplinary actions. Our employee are instructed, continuously reminded and trained to safeguard all confidential client Information. These Privacy Principles are for general guidance and do not constitute a contract or create legal rights, and do not modify or amend any agreements we have with you. This notice complies with a recently enacted Federal law and new SEC regulations regarding privacy. You may have additional rights under other foreign or domestic laws that may apply to you.
If you have questions about this privacy policy, or if you wish to amend or rescind your written instructions, please contact Mr. Darryl Glatthorn at 203-222-7400 or dglatthorn@equusfc.com. Equus Financial Consulting LLC may share Information with other affiliates in the ordinary course of business. If you object, please notify us at 203-222-7400 or dglatthorn@equusfc.com or by mail at 78 Pine Street, New Canaan, CT 06840.
Business Continuity:A copy of our Business Continuity Plan can be found here.
Securities offered through Equus Financial Consulting LLC, Registered Broker-Dealer, Member FINRA/SIPC.