Privacy Policy
At Keefe Bruyette & Woods, Inc. ("KBW"), we recognize the importance of protecting the privacy of our customers and as such, we have policies in place to maintain the confidentiality and security of customer information.
KBW seeks to protect the security and confidentiality of customer information. We reinforce this in the way we routinely handle sensitive information as part of our day-to-day operations. As such, we maintain physical, electronic and procedural safeguards to protect non-public customer information. Our systems aim to protect against unauthorized access to records that may harm or inconvenience customers.
It is KBW’s policy not to share information or records regarding former or current customers with anyone, except as required by law. Furthermore, customer accounts are handled in a confidential manner with information and transactions discussed only with persons who have a reasonable need to know such information for valid business or regulatory reasons. This includes, but is not limited to, confidential information requested during routine regulatory reviews and examinations.
Please contact your KBW broker if you have any questions about this policy or any other concerns.
Business Continuity Plan
Keefe, Bruyette & Woods, Inc. (KBW) maintains a business continuity plan (the "Plan") that contains procedures to minimize the effect of interruptions to our normal course of business. This Plan is reviewed annually and updated as necessary. The Plan outlines the actions that KBW will take in the event of a building, city-wide, or regional incident, including relocating key information technology and operations personnel to alternate facilities. If such an incident occurs and you cannot reach your KBW Representative using the normal contact information, please call our emergency contact number (877) 529-3722 (877-KBW-DRBC) for information concerning your account(s). If you are not able to reach KBW through the normal contact information or the KBW emergency contact number above, you should contact our clearing broker, Pershing LLC, at (201) 413-3635 or (213) 624-6100 extension 500.
A copy of the Plan is available to our customers upon request. Please contact your KBW representative or click on the Contact Us link for a copy of this Plan.
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