MGO Securities Corp. (MGOSC) a broker dealer and MGO Investment Advisors Inc. (MGOIA) are committed to safeguarding the confidential information of its clients. Moskal Gross Orchosky Inc. (MGO) is the parent company of MGOSC and MGOIA and shares information with the firms. We hold all personal information provided to our firms in the strictest confidence. These records include all personal information that we collect from you in connection with any of the services provided by MGOSC/MGOIA.
MGOSC/MGOIA shares office space with one non-affiliated company – Richard A. Weiss Attorney at Law (former MGO shareholder). The non-affiliated firms may have direct access to client information in order to provide legal services as may be applicable to clients’ service model. If you do not want us to share your personal information with these firms, please contact Lisa Peterson at 216-771-4242 ext. 207 and we will make sure that these firms do not have access to your personal information.
We have never disclosed information to non-affiliated third parties (other than the firm noted above), except as permitted by law, and do not anticipate doing so in the future. If we were to anticipate such a change in firm policy, we would be prohibited under the law from doing so without advising you first. As you know, we use financial information that you provide to us to help you meet your personal financial goals while guarding against any real or perceived infringements of your rights of privacy. Our policy with respect to personal information about you is listed below.
- We limit employee and agent access to information only to those who have a business or professional reason for knowing, and only to nonaffiliated parties as permitted by law. (For example, federal regulations permit us to share a limited amount of information about you with a brokerage firm in order to execute securities transactions on your behalf.)
- We maintain a secure office and computer environment to ensure that your information is not placed at unreasonable risk.
- The categories of nonpublic personal information that we collect from a client depend upon the scope of the client engagement.
- We may disclose the information to entities that perform administrative services on our behalf or as required by law for legal, regulatory, or other purposes. Regarding our employer-sponsored retirement plan clients, participant data may be shared with the employer.
- We do not provide your personally identifiable information to mailing list vendors or solicitors for any purpose.
- Personally identifiable information about you will be maintained during the time you are a client, and for the required time thereafter that such records are required to be maintained by federal and state securities laws. After this required period of record retention, all such information will be destroyed.