Privacy Statement / Customer Privacy Notice / Use of Information

Protecting your privacy is important to CastleOak Securities, LP and our employees. We believe the confidentiality and protection of customer information is one of our most fundamental responsibilities. Whether you are an existing customer or are considering a relationship with us, you have an interest in how we collect, use, retain and secure nonpublic personal information. And while information is critical to providing quality services, we recognize that one of our most important assets is our customers’ trust.

If we change our privacy policies, a revised customer privacy notice will promptly be posted to our web site ( You agree to accept posting of a revised customer privacy notice electronically on the web site as actual notice to you. You should review the customer privacy notice periodically to remain informed of any changes. Any dispute between you and CastleOak Securities, LP is subject to our customer agreement/terms and conditions and our general policies, terms, and procedures governing CastleOak customer and other accounts, including where applicable, arbitration of disputes and limitation of damages.

If you have any questions that this customer privacy notice does not address or if you wish to discuss CastleOak’s privacy policies in greater detail, please contact our Compliance Department at 212 829-4776 or write us at CastleOak Securities, LP, Attn: Compliance Department, 200 Vesey Street, 4th Floor New York, NY 10281.

The Information We Collect
CastleOak may collect non-public personal information about you from the following sources: 1. Information you provide to us on account opening documentation, applications, subscriptions or other forms; 2. Transactions with us, our affiliates, or others; 3. From non-affiliated third parties (e.g., credit reporting agencies and others).

Categories of Information that We May Disclose
We may disclose the following kinds of non-public personal information about you: 1. Information we receive on applications or other forms, such as name, address, social security number and e-mail address; 2. Information about your transactions with us, our affiliates, or other; 3. Information we receive from a consumer reporting agency, such as creditworthiness and credit history.

Parties to Whom We May Disclose Information
We do not disclose non-public personal information to any non-affiliated third party, except to non affiliated third parties that may assist us in servicing your account, to financial service institutions with whom we have joint marketing agreements, to securities and banking regulators upon requests, to others pursuant to subpoena and otherwise as permitted by law. We may from time to time disclose your non-public personal information to our affiliates, including but not limited to affiliated broker-dealers.

If you decide to close your account (s) or become an inactive customer, we will continue to adhere to the privacy and practices described in this notice, or subsequent notices, which may amend the policy stated herein.

Nothing in this customer privacy notice is intended to interfere with our ability to transfer all or part of our business and/or assets to an affiliate or non-affiliated third party at any time, for any purpose, without any limitation whatsoever.

Confidentiality and Security Procedures
CastleOak Securities, L.P. takes steps to safeguard customer intimation and restrict access to your personal and account information to those employees who need to know that information in order for us to provide products or services to you. We emphasize the importance of confidentiality through employee training, operating procedures, written policies and this privacy policy. We maintain physical, electronic, and procedural safeguards to guard your non-public personal information.

Key Terms to Privacy
“Nonpublic Personal Information” – Personally identifiable financial information that is provided by a customer or potential customer to a financial institution, that results from a transaction with the customer or that is otherwise obtained by the financial institution in connection with providing a financial product or service.

“Affiliate”- Any entity that is part of CastleOak’s family by virtue of common ownership or control.

“Non-Affiliated Third Party” – Any entity that is not part of CastlOak’s family of companies.

Our Use of Cookies and Your Options

By using CastleOak’s Web site with your browser settings adjusted to accept cookies you consent to our use of cookies and other tools to provide the products and services available on  website. If you would like to modify your browser to notify you when you receive a new cookie or to disable cookies altogether, please refer to Managing Cookies below.

Cookies and How We Use Them
Cookies are small text files that may be placed on your Web browser when you visit our Web Site or when you view advertisements we have placed on other Web Site. Cookies allow your browser to remember some specific information which the Web server can later retrieve and use.  When you quit your browser, some cookies are stored in your computer’s memory, while some expire or disappear.

Cookies are used primarily for administrative purposes, to improve your experience with our Web Site. Examples of this would include the use of cookies:

In addition to administrative uses, we may also use cookies in one or more of the following ways:

This paragraph applies only to the web site. The site may use third parties to serve advertisements as described immediately above. To do so, these parties may place or recognize a unique cookie on your browser (including through the use of pixel tags) to gather information concerning your use of our that site and other Web Site and, based on that information, serve advertisements that may be of interest to you. If you would like more information about this practice, and to learn how to opt out of it on the particular device on which you are accessing this Privacy and Cookies Policy, please visit The CastleOak Web Site adheres to the interest-based advertising principles of the Digital Advertising Alliance, available at

For more information on how we collect and use information that is identifiable to you, please refer to our Privacy Policy.

Managing Cookies
The Help menu on the menu bar of most browsers will tell you how to prevent your browser from accepting new cookies, how to have the browser notify you when you receive a new cookie and how to disable cookies altogether. Additionally, you can disable or delete similar data used by browser add-ons, such as Flash cookies, by changing the add-on’s settings or visiting the Web site of its manufacturer. Some of our sites employ “functionality cookies” that help the site remember your settings and preferences for use when you visit the site in the future. This provides a more tailored and pleasant user experience. These cookies store information in multiple places. On those site using functionality cookies, you will find a “Delete Cookies” feature on every page that will allow you to delete these cookies completely from your device. Please note that, if you decline to use cookies, you may experience reduced functionality and, for sites using authentication-related cookies, declining cookies will prevent you from using the Web site altogether. To learn more about what cookies are set on your computer as you browse the Web and how to manage or delete them, visit

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