Zacks Trade, a division of LBMZ Securities, views confidentiality of client information as an important priority. We take reasonable steps to protect the privacy of information in our care, but it is important to recognize that information connected to the Internet cannot be 100% secure. This Privacy Policy describes the type of Personal Information we may collect from you, or that you may provide to us when you visit the Zacks Trade website: www.zackstrade.com (“Website”), as well as our practices for collecting, processing, using, and disclosing that information.This Privacy Policy does not apply to websites or practices of third parties. Our Website may contain links to other websites, so please be aware that we are not responsible for the privacy practices of other websites. We encourage you to carefully read the privacy policies of other websites you visit.

Changes to Our Privacy Policy

As our Company, products and services change from time to time, this Privacy Policy is expected to change as well. We reserve the right to amend this Privacy Policy at any time, for any reason, and may do so by posting a new version online. It is our policy to post any changes we make to our Privacy Policy on the Website Home Page. If we make material changes to how we treat our users’ Personal Information, we will make such changes notable on our Website Home Page. Your continued use of the Website will constitute acceptance of the material changes identified on the Website. Your continued use of the Website and/or continued provision of information to us will be subject to the terms this Privacy Policy.We may use your Personal Information to manage applications, inform you of opportunities, provide customer and service-related support, and improve our web platform, applications, and the operations and security of our systems. Most, if not all, of the Personal Information we have about you comes directly from you. The Personal Information we collect will vary, but may include, among other things: your name and address, financial information, investment experience, occupation and address of employers, birth date, social security number, e-mail address, phone number, and records of your account history. We may also collect Personal Information from outside sources, such as our business partners, consumer reporting agencies, and the Central Registration Depository (CRD) if you are, or were, associated with the securities industry.Information We Collect Through Automatic Data Collection Technologies (Navigational Information)
Please note that when visiting our Website, information may be collected automatically as you navigate through the site (“Navigational Information”). Information collected automatically may include usage details, IP addresses and information collected through cookies, web beacons and other tracking technologies. The information we automatically collect is statistical data and may include Personal Information. We may maintain automatically collected information or associate it with Personal Information we collect in other ways or receive from third parties. This information helps us to improve our Website and to deliver a better and more personalized service, including by enabling us to do things such as store information about your preferences, allowing us to customize our Website according to your individual interests and to speed up your searches.

Opting Out

We also may use these technologies to collect information about your online activities over time and across third-party websites or other online services (“Behavioral Tracking”). For information on how you can opt out of Behavioral Tracking on this website and how we respond to web browser signals and other mechanisms that enable consumers to exercise choice about Behavioral Tracking, please send an email to [email protected] or write to us at the address listed in Contact Information below.

Do Not Track

Some browsers have a “Do Not Track” feature that lets you tell web sites that you do not want to have your online activities tracked. These features are not yet uniform, and we currently are not able to respond to those signals.

Third-Party Use of Cookies and Other Tracking Technologies

Some content or applications, including advertisements, on the Website are served by third parties, including advertisers, ad networks and servers, content providers and application providers. These third-parties may use cookies (alone or in conjunction with web beacons or other tracking technologies) to collect information about you when you use our website. The information they collect may be associated with your Personal Information or they may collect information, including Personal Information, about your online activities over time and across different websites and other online services. They may use this information to provide you with interest-based (behavioral) advertising or other targeted content.We do not control these third-parties’ tracking technologies or how they may be used. If you have any questions about an advertisement or other targeted content, you should contact the responsible provider directly. You can opt-out from targeted advertising due to third parties by visiting the Digital Advertising Alliance opt-out site at www.aboutads.info.

Disclosure of Your Information<

We may disclose Personal Information that we collect or you provide as stated above and in accordance with the terms set forth in this Privacy Policy:

  • To our subsidiaries and affiliate companies.
  • To contractors, service providers and other third parties we use to support our business, such as our clearing firm, and who are bound by contractual obligations to keep Personal Information confidential and use it only for the purposes for which we disclose it to them.
  • For any other purpose disclosed by us when you provide the information.
  • To address emergencies or acts of God.
  • With your consent.

We may disclose all of the information that we collect, as stated above and in accordance with the terms set forth in this Privacy Policy if (1) we believe the information is needed to comply with the law (for example, to comply with a search warrant, subpoena or court order, respond to a government request, enforce an agreement we have with you, or to protect our rights, property or safety, or the rights, property or safety of our employees or others; (2) to address disputes, claims, or to persons holding a legal or beneficial interest; (3) in anticipation of and in the course of an actual or potential sale, reorganization, consolidation, merger, or amalgamation of all or part of our business or operation.

Choices about How We Use and Disclose Your Information

We strive to provide you with choices regarding the information you provide to us. We have created mechanisms to provide you with the following control over your information:<

  • Tracking Technologies and Advertising. You can set your browser to refuse all or some browser cookies, or to alert you when cookies are being sent. To learn how you can manage your Flash cookie settings, visit the Flash player settings page on Adobe’s website. If you disable or refuse cookies, please note that some parts of this site may then be inaccessible or not function properly.
  • Disclosure of Your Information for Third-Party Advertising. We do not share your Personal Information with unaffiliated or non-agent third parties. You can opt-out from targeted advertising due to third parties by visiting the Digital Advertising Alliance opt-out site at www.aboutads.info or contact the responsible provider directly.

Visiting our Website from Outside the United States

If you are visiting our Website from outside the United States, please be aware that your information may be transferred to, stored, and processed in the U.S., where our servers are located and our central database is operated. Please be aware that the data protection and other laws of the U.S. may not be as comprehensive as those in your country. By using our Website, you agree that your information may be transferred to our facilities and to those third-parties with whom we share it, as described in this Privacy Policy.

Your California Privacy Rights

If you reside in California and provide personal information (as defined by California statute) in order to obtain products or services for personal, family, or household, you have the right to ask us one time each year if we have shared personal information with third-parties for direct marketing purposes. To make such a request, please write to us at the address listed in Contact Information below and indicate in the subject line that you are a California resident making a “Shine the Light” inquiry.

Your New Jersey Privacy Rights

In New Jersey; A) Limitations on liability for intentional or reckless acts and gross negligence are prohibited and do not apply; (B) Nothing herein excludes any claim for attorney’s fees, court costs or other damages if mandated by stature.

Transferring Your Personal Information Outside the EEA (if GDPR applies)

For Personal Information subject to the General Data Protection Regulation (EU) 2016/679 (“GDPR”) we may transfer your Personal Information outside the EEA for the Permitted Purposes as described above. This may include countries that do not provide the same level of protection as the laws of your home country (for example, the laws within the EEA or the United States). We will ensure that any such international transfers are made subject to appropriate or suitable safeguards if required by the GDPR or other relevant laws. You may contact us at any time using the Contact Information below if you would like further information on such safeguards.With respect to persons covered by GDPR, in case Personal Information is transferred to countries or territories outside of the European Economic Area (“EEA”) that are not recognized by the European Commission as offering an adequate level of data protection, we have put in place appropriate data transfer mechanisms to ensure Personal Information is protected.

Further Rights for Persons or Information Covered By GDPR

With respect to EEA residents and where your Personal Information is processed by Zacks Trade.If you are a covered individual you have a number of legal rights under GDPR in relation to the personal information that we hold about you. These rights include:

  • Obtaining information regarding the processing of your Personal Information and access to the personal information that we hold about you. Please note that there may be circumstances in which we are entitled to refuse requests for access to copies of Personal Information, (in particular, information that is subject to legal professional privilege);
  • Requesting that we correct your personal information if it is inaccurate or incomplete;
  • Requesting that we erase your Personal Information in certain circumstances. Please note that there may be circumstances where you ask us to erase your Personal Information but we are legally entitled to retain it;
  • Objecting to, and requesting that we restrict, our processing of your Personal Information in certain circumstances. Again, there may be circumstances where you object to, or ask us to restrict, our processing of your Personal Information but we are legally entitled to refuse that request;
  • Withdrawing your consent, although in certain circumstances it may be lawful for us to continue processing without your consent if we have another legitimate reason (other than consent) for doing so.

We may request that you prove your identity by providing us with a copy of a valid means of identification in order for us to comply with our security obligations and to prevent unauthorized disclosure of data. We reserve the right to charge you a reasonable administrative fee for any manifestly unfounded or excessive requests concerning your access to your data and for any additional copies of the Personal Information you request from us.We will consider any requests or complaints that we receive and provide you with a response in a timely manner. If you are not satisfied with our response, you may take your complaint to the relevant privacy regulator. We will provide you with details of your relevant regulator upon request

Children

The Website is not intended for use by or targeted at children under 13, and we do not knowingly or intentionally collect information about children under 13. We may provide links to third-party websites that allow children under the age of 13 to register for use of the website, or are targeted at children under 13. In such instances, the third-parties are responsible for ensuring that their websites comply with applicable laws, regulations, and rules.

Updating your Personal Information

If any of the Personal Information that you have provided to us changes, for example if you change your email address or if you wish to cancel any request that you have made of us, please contact us at [email protected] We will not be responsible for any losses arising from any inaccurate, inauthentic, deficient or incomplete personal information that you provide to us.

How Long Do We Retain Your Personal Information?

We retain your Personal Information in an identifiable form in accordance with our internal policies which establish general standards and procedures regarding the retention, handling and disposition of your Personal Information. Personal Information is retained for as long as necessary to meet legal, regulatory and business requirements. Retention periods may be extended if we are required to preserve your Personal Information in connection with litigation, investigations and proceedings.

Our Security Measures to Protect Information

We are committed to taking reasonable efforts to secure the information that you choose to provide to us, and we use a variety of security technologies and procedures to help protect against unauthorized access to or alteration, disclosure, or destruction of data. We endeavor not to provide Personal Information to non-affiliates who might use your information to contact you about their own products and services, but we do not control the extent to which information may be gathered by others as you access information on the Internet.At Zacks Trade, we educate our employees to protect your Personal Information, and we work to limit access to Personal Information to those individuals who are involved in servicing your financial needs, in supervisory activities, or protecting our network. For example, your representative will use your Personal Information to help evaluate your financial situation and establish appropriate investment objectives. In addition, Zacks Trade maintains reasonable physical, electronic, and procedural safeguards intended to protect your Personal Information.

No Guarantee

No data transmission over the Internet can be guaranteed to be 100% secure. Accordingly, and despite our efforts, Zacks Trade cannot guarantee or warrant the security of any information you transmit to us. If you have questions about this Privacy Policy, please send us an email or write to us at the address listed below. Finally, should your relationship with Zacks Trade end, your personal information will remain protected in accordance with our privacy policies as outlined in this notice.You may ask to see or obtain a copy of any Personal Information we have in our records. If any of the information is believed to be incomplete or inaccurate, you may request we make any necessary and appropriate changes. Please send any requests to our address (Contact Information) below.

Contact Information

We hope that you have found this information helpful. If you have any questions or would like more information, please don’t hesitate to contact your representative. If you have questions about information security, privacy or usage of Personal Information at Zacks Trade that were not answered here, please contact us at [email protected] or the following address:Zacks Trade
Attn. Compliance
10 S Riverside Plaza
Suite 1600
Chicago, IL 60606-3830

Last Updated: May 24, 2018