1. Introduction
Pioneer Capital Markets, Inc is committed to protecting the privacy and security of your personal information. As a FINRA-registered broker-dealer, we comply with applicable federal regulations, including the Securities and Exchange Commission’s Regulation S-P and Regulation S-ID, and FINRA rules governing the safeguarding of customer information.
This Privacy Policy describes how we collect, use, share, and protect your personal information when you interact with our website and services.
2. Information We Collect
We may collect the following types of personal information name, address, email, phone number.
Information is collected:
- Directly from you (e.g., forms, applications)
- Automatically via website usage (e.g., cookies, analytics)
- From third-party sources as permitted by law
3. How We Use Your Information
We use your personal information to:
- Provide brokerage services and manage your account
- Comply with legal an regulatory obligations
- Prevent fraud and unauthorized access
- Communicate with you about your account or our services
- Improve website functionality and user experience
4. Information Sharing
We do not sell your personal information. We may share it only:
- With service providers performing functions on our behalf
- With regulators, law enforcement, or as required by law
- To fulfill transactions or services you request
- With affiliates, as permitted under Regulation S-P
You may opt out of certain information sharing as described in our annual privacy notice.
5. Data Security
We implement reasonable administrative, technical, and physical safeguards to protect your personal information from unauthorized access, disclosure, or misuse. These include:
- Encryption and secure transmission protocols
- Access controls and authentication procedures
- Employee training and oversight
6. Identity Theft Prevention
In accordance with Regulation S-ID, we maintain a written Identity Theft Prevention Program to detect, prevent, and mitigate identity theft in connection with covered accounts.
7. Cookies and Tracking Technologies
Our website uses cookies and similar technologies to:
- Analyze site usage and performance
- Enhance security and user experience
- Remember user preferences
You may disable cookies via your browser settings, but some features may not function properly.
8. Data Retention
We retain personal information as long as necessary to fulfill the purposes outlined in this policy and to comply with legal and regulatory recordkeeping requirements.
9. Your Rights and Choices
You have the right to:
- Access and correct your personal information
- Opt out of certain types of information sharing
- Receive annual privacy notices
To exercise these rights, contact us.
10. Changes to This Policy
We may update this Privacy Policy from time to time. Changes will be posted on this page with an updated effective date.
11. Contact Us
Pioneer Capital Markets, Inc - Compliance Department
3440 TORINGDON WAY, SUITE 205, CHARLOTTE, NC 28277
518.944.1829
galarpeg@pioneerny.com