Gerstein Fisher | Privacy Policy

It is the policy of Gerstein Fisher, GFA Securities, LLC. and Gerstein Fisher Tax Services, LLC. (“The GF Companies”) to keep confidential nonpublic personal information (“information”) pertaining to each prosepective, current and former client (i.e., information and records pertaining to personal background, investment objectives, financial situation, tax information/returns, investment holdings, account numbers, account balances, etc.) unless The GF Companies are: (1) previously authorized by the client to disclose information to individuals and/or entities not affiliated with The GF Companies, including, but not limited to the client’s other professional advisors and/or service providers (i.e., attorney, accountant, insurance agent, broker-dealer, investment adviser, account custodian, etc.); (2) required to do so by judicial or regulatory process; or (3) otherwise permitted to do so in accordance with the parameters of applicable federal and/or state privacy regulations. The disclosure of information contained in any document completed by the client for processing and/or transmittal by The GF Companies in order to facilitate the commencement / continuation / termination of a business relationship between the client and a nonaffiliated third party service provider (i.e., broker-dealer, investment adviser, account custodian, insurance company, etc.), including information contained in any document completed and/or executed by the client for The GF Companies (i.e., advisory agreement, client information form, etc.), shall be deemed as having been automatically authorized by the client with respect to the corresponding nonaffiliated third party service provider. Each individual and/or entity affiliated with The GF Companies is aware of The GF Companies’ Privacy Policy, and has acknowledged his/her/its requirement to comply with same. In accordance with The GF Companies’ Privacy Policy, each such affiliated individual and/or entity shall have access to information to the extent reasonably necessary for The GF Companies to perform its services for the client, and to comply with applicable rules and regulations.

Should you have any questions regarding the above, please contact Gerstein Fisher at 212-968-0707.


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