Divine Capital Markets LLC collects non-public information about you from the following sources:
• Information we receive from you on account applications or other forms
• Information about your transactions with Divine Capital or others
• Information we receive from a consumer-reporting agency
We do not disclose any non-public personal information about you to anyone, except as permitted by law. We maintain physical, electronic and procedural safeguards in compliance with federal standards to protect your information. If you decide to close your account(s) or you become an inactive customer, we will adhere to the privacy policies and practices as described in this notice.
Divine Capital restricts access to your personal account information to only those employees who need to know that information to provide products or services to you.
Anti Money Laundring Program
Under the U.S. Patriot Act, we are required to establish and maintain an Anti-Money Laundering Program (“AML”) to help the government fight the funding of terrorism and money laundering activities. Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. When you open account, we will ask for your name, address, date of birth and copy of a valid form of government-issued photo identification.
For more information on our AML Program, please contact the Compliance Department at (212) 344-5867 or firstname.lastname@example.org
Business Continuity Plan Summary
We have prepared, and always maintain a current Business Continuity Plan (“BCP”) in compliance with FINRA Rule 4370. This document summarizes our plan to continue business and meet our existing obligations to customers in the event of a Significant Business Disruption (“SBD”).
Our firm’s policy is to respond to a SBD by safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records, and allowing our customers to transact business. We will make every reasonable effort to meet our obligations to customers at all times. Our plan anticipates two kinds of SBD’s; internal and external. Internal SBD’s affect only our firm’s ability to communicate and do business, such as a fire in our building. External SBD’s prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a city flood, or a wide-scale, regional disruption. Our response to an external SBD relies more heavily on other organizations and systems, especially on the capabilities of our clearing firm. In the event that we determine we are unable to continue the normal conduct of our business, due to any of the scenarios described above or any other circumstances, we will enact our BCP in order to assure customers prompt access to their funds and securities. Our BCP outlines the back-up facilities and arrangements that will be utilized in these circumstances. We will make every reasonable effort to continue the conduct of business during any SBD, employing the use of our BCP. We plan to continue the conduct of business during any SBD unless circumstances prohibit us from doing so. If, for any reason, at any time, we are forced by circumstances outside our direct control to discontinue business, we will immediately determine our planned recovery time and communicate those plans to all concerned parties. Our BCP is subject to modification, update, and improvement at any time so that we may constantly assure ourselves, our customers, and any other concerned party of our readiness to confront a SBD.
For more information on our BCP, please contact the Compliance Department at (212) 344-5867 or email@example.com Wedbush Clearing: (203) 688-8000
You may obtain information about the Securities Investor Protection Corporation (SIPC) by contacting SIPC at www.sipc.org or by calling (202) 371-8300 to request a SIPC brochure. In brief, the SIPC brochure describes such things as the role of SIPC, what SIPC covers and what it does not, and how SIPC operates in the case of a brokerage firm failure.