Privacy Practices Notice

Dowling & Partners Securities, LLC has a long-standing policy of protecting the confidentiality and security of information we collect about customers.  We will not share nonpublic information about you (“Information”) with third parties without your consent, except for the specific purposes described below.  This notice describes the Information we may gather and the circumstances under which we may share it.

Why We Collect and How We Use Information: We limit the collection and use of Information to the minimum we require to deliver superior service to you.

How We Protect Information: Our employees 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.  We also maintain physical, electronic and procedural safeguards to protect Information which comply with all applicable laws.  Employees who violate our Privacy Policy are subject to disciplinary process.

 Disclosure of Information:  We may disclose any Information when we believe it necessary for the conduct of our business, or where disclosure is required by law.  For example, Information may be disclosed for audit or research purposes, to attorneys or other professionals, or to law enforcement and regulatory agencies, for example, to help us prevent fraud.  In addition, we may disclose Information to third party service providers.  Except in those specific, limited situations, without your consent, we will not make any disclosures of Information to other companies who may want to sell their products or services to you.

 If you desire to review any file we may maintain for you, please contact us.  If you notify us that any Information is incorrect, we will review it.  If we agree, we will correct our records.  If we do not agree, we may submit a short statement of dispute, which we will include in future disclosures of the disputed Information.  Information collected in connection with, or in anticipation of, any claim or legal proceeding will not be made available.

Former Customers: Even if you are no longer a customer, our Privacy Policy will continue to apply to you.

 We reserve the right to change this Privacy Policy.  The examples contained within this Privacy Policy are illustrations and they are not intended to be exclusive.  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.