What does Lucia Securities, LLC (LSL) do with your personal information?
Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some, but not all, sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.
The types of personal information we collect and share depend on the product or service you have with us. This information can include the following:
- Social Security number and income
- Account balances and investment experience
- Risk tolerance and transaction history
All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers’ personal information, the reasons RJLWM and LSL chooses to share, and whether you can limit this sharing.
To Limit Our Sharing
Call (800) 644-1161 [and our menu will prompt you with choices].
If you are a new customer, we can begin sharing your information within 30 days from the date we sent this notice. When you are no longer our customer, we continue to share your information, other than for marketing purposes, as described in this notice. However, you can contact us at any time to limit our sharing.
Call (800) 644.1161
Who we are
Who is providing this notice? LUCIA SECURITIES, LLC
What we do
How does LSL protect your personal information? To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. We employ physical, electronic, and procedural safeguards for the protection of the personal information we collect about you.
How does LSL collect your personal information? We collect your personal information, for example, when you
- Open an account or seek advice about your investments
- Direct us to buy securities or direct us to sell your securities
- Enter into an investment advisory contract or tell us about your investment or retirement portfolio
We also collect your personal information from others, such as credit bureaus, affiliates, or other companies.
Why can’t you limit all sharing? Federal law gives you the right to limit only the following:
- Sharing for affiliates’ everyday business purposes, such as information about your creditworthiness
- Affiliates from using your information to market to you
- Sharing for non-affiliates to market to you
State laws and individual companies may give you additional rights to limit sharing. See Other Important Information below for more on your rights under state law.
What happens when I limit sharing for an account I hold jointly with someone else? Your choices will apply to everyone on your account unless you tell us otherwise.
Affiliates Companies related by common ownership or control. They can be financial and nonfinancial companies.
- RJL Capital Management, LLC
- RJL Wealth Management, LLC
- RJL Insurance Services, LLC
Non-affiliates Companies not related by common ownership or control. They can be financial or nonfinancial companies.
- RBC Capital Markets, LLC
- Placemark Investments, Inc.
- Investment Advisor Firms, mutual fund companies, and insurance companies
Joint marketing A formal agreement between non-affiliated financial companies that together market financial products or services to you.
- LSL does not jointly market.
Other Important Information
California Residents: You must consent to sharing your information with non-affiliated third parties prior to that information being shared. The types of information we share with these non-affiliated third parties include name, address, telephone number, income, net worth, and investment objectives.
Pursuant to Section 512(c)(2) of the Copyright Revision Act, as enacted through the Digital Millennium Copyright Act, Lucia Securities, LLC designates an agent as described below, to receive notifications of claimed infringement:
Legal name and address of service provider:
Lucia Securities, LLC
13520 Evening Creek Drive North, Suite 300
San Diego, CA 92128
Name under which service provider does business:
Lucia Securities, LLC
Name of designated agent:
Director of Compliance
Contact information of designated agent:
Telephone: (800) 644-1161