As a provider of services that involve compiling personal and sometimes, sensitive information, protecting the confidentiality of that information has been, and will continue to be, a top priority for B. Riley Capital Management, LLC (“BRCM”). BRCM generally collects and uses information about clients in order to deliver quality service to them and to comply with legal and regulatory requirements. Confidential information that BRCM receives from clients on subscription agreements, account opening documentation and/or other forms, may include, but is not limited to, the client’s name, address, telephone number, occupation, social security number or tax identification number, and information pertaining to the client’s financial status (i.e. net worth, annual income, etc.).
Other than as required or permitted by law, BRCM will not disclose our clients’ nonpublic personal information except to any unaffiliated third parties unless BRCM has previously informed the client in agreements, has provided disclosure to the client (with the opportunity to “opt-out”), or has otherwise been authorized by the client.
In the ordinary course of business, BRCM may share information pertaining to a client’s account with our affiliates servicing the account, non-affiliated third parties that perform various services for us related to a client’s account, such as clearing firms, custodians, fund administrators, auditors and attorneys, and other non-affiliated third parties as required or permitted by law, such as regulatory bodies. Access to client information within BRCM will be limited to those employees and affiliated entities who are involved in offering or administering client accounts. We maintain physical, electronic and procedural safeguards that comply with federal standards to guard client nonpublic information.