Privacy Policy

At 1st Discount Brokerage, Inc. (“1DB”), we recognize that you expect your personal information to be handled in a professional and confidential manner. We are committed to protecting the privacy of our customers and maintaining the confidentiality of nonpublic personal information. This notice describes how we collect, use, safeguard, and disclose nonpublic personal information about our customers.

We collect and maintain nonpublic personal information about you in order to establish and service your brokerage and/or advisory accounts, process transactions, provide brokerage and investment advisory services, comply with legal and regulatory requirements, and assist our clearing firm, custodians, and service providers in performing services on our behalf.

The types of information we may collect include:

• Information you provide through account applications, advisory agreements, questionnaires, subscription documents, or other forms, including your name, address, Social Security number, employment information, financial information, investment objectives, and risk tolerance.
• Information regarding your transactions and experiences with us, our clearing firm, custodians, or others, including account balances, holdings, transaction history, payment history, and account activity.
• Information received from consumer reporting agencies, such as credit history and creditworthiness information.
• Information obtained from public records and other sources as permitted by law.

1DB does not sell your nonpublic personal information.

We may disclose nonpublic personal information about you to unaffiliated third parties as permitted or required by law, including:

• Apex Clearing Corporation, custodians, and other financial institutions involved in servicing your account or processing transactions.
• Service providers that perform operational, administrative, technology, compliance, recordkeeping, reporting, mailing, cybersecurity, fraud prevention, or other services on our behalf.
• Federal, state, self-regulatory, or foreign regulatory authorities, law enforcement agencies, courts, arbitrators, or governmental entities as required by law or legal process.
• To protect against fraud, unauthorized transactions, claims, or other liabilities.
• To otherwise comply with applicable legal and regulatory requirements.

• We do not disclose nonpublic personal information to unaffiliated third parties for their independent marketing purposes.

We restrict access to customer information to employees, registered representatives, investment adviser representatives, and authorized service providers who need such information to perform their responsibilities.

We maintain administrative, technical, and physical safeguards designed to protect customer records and information from unauthorized access or use. These safeguards are reasonably designed to ensure the security and confidentiality of customer information, protect against anticipated threats or hazards, and prevent unauthorized access or use that could result in substantial harm or inconvenience to customers.

We require service providers with access to customer information to maintain appropriate safeguards and to use such information only for authorized purposes.

If you close your account or otherwise cease to be a customer, we will continue to protect your nonpublic personal information in accordance with this notice and applicable law.

1DB reserves the right to amend this Privacy Notice at any time. If material changes are made, we will provide notice as required by applicable law and regulation.

1st Discount Brokerage, Inc.
8927 Hypoluxo Road, Suite A-5
Lake Worth, Florida 33467