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Water Street Privacy Policy


Dear Water Street Client,


Below you will find your Annual Privacy Policy Notice from Water Street Advisory. Please contact Michele in compliance with any questions.





Water Street Advisory is committed to protecting all nonpublic information it collects on our current and former customers.  This notice describes how Water Street Advisory protects all non-public information received from our customers. Federal Law requires Water Street Advisory to collect personal information in order to verify its customers’ identities when applying for an account.  


Water Street Advisory collects nonpublic personal information about the client from the following sources:

· Information we receive from a client on applications or other forms.

· Information we receive about a client’s transactions with us, our affiliates, or others.


Water Street Advisory discloses client information to the carrying clearing firms for account opening purposes and for customer identity verification purposes.  Client information is disclosed to no one else and kept private, except as permitted by law.  Water Street Advisory retains personal current and former customer information and discloses that information only as necessary to service our customers.  Only under specific circumstances may Water Street Advisory disclose the following kinds of nonpublic personal information about you:

· Name, date of birth, residential or business address, social security number, governmental photo ID, banking information, financial background, and investing experience. 


· For non-individual accounts (corporation, LLC, partnership, trust), Water Street Advisory will also obtain documents that show the existence of an entity.  These may include certified articles of incorporation, a partnership agreement, a government issued business license, or a trust instrument.


· For all non-US persons, Water Street Advisory will also obtain, at a minimum, a TIN, passport number and country of issuance, an alien identification card number, or the number and country of issuance of any other government issued document evidencing nationality or residence and bearing a photograph.


Water Street Advisory may disclose personal information about current or former customers to third parties in the following possible circumstances:

· As required to process or service clients’ accounts or transactions.


· As required by regulators, tax authorities and examiners, law enforcement personnel or in response to a subpoena or legal process where information is required.


· As may be appropriate to protect against fraud or illegal activity, for the safety of the customers, employees, or property of Water Street Advisory.


· As specifically directed by a customer of Water Street Advisory to disclose on their behalf.


Water Street Advisory restricts access to nonpublic information about our clients to anyone not employed by Water Street Advisory or by the third parties referred to above.  We maintain physical, electronic, and procedural safeguards that comply with federal standards to safeguard your nonpublic personal information.


Customers and counterparties must consent to the recording of all oral communications that are subject to recording Rules.   The receipt of this Privacy Policy is your notice that all conversations between you and a registered associated person of Water Street Advisory will be recorded and maintained on file under secure measures as outlined in this notice for a period of one year.  Should you object to this recording policy, your will need to notify our office within 10 calendar days of your unwillingness to be subject to your conversations being recorded while speaking with a registered associated person of Water Street Advisory. After this 10 calendar day period, your silence will be accepted as your consent to this policy.




Thank you,



Michele Chapin | Compliance Officer and New Account Administrator
WATER STREET ADVISORY® | www.waterstreet.org
(309) 680-1200 | mchapin@waterstreet.org

Past performance is not indicative of future results. The information contained in this report is intended for informational purposes only and is the opinion of the writer and may change at any time. This information was compiled from sources believed to be reliable but accuracy cannot be and is not guaranteed. There is no warranty, expressed or implied, in regards to this information for any particular purpose. There is SIGNIFICANT RISK involved in trading futures and or options on futures and may not be suitable for all investors. Investors should consider these RISKS and evaluate their suitability based on their financial conditions. No one should ever consider trading futures or options on futures with anything other than RISK CAPITAL. This information is provided freely and is NOT in the capacity of a trading advisor. NO LIABILITY on the part of the author exists for any trading loss you may incur in the use of this information. Information provided is not to be construed as an offer to sell or solicitation to buy any commodity or security named herein.

The information contained in this e-mail message is intended only for the personal and confidential use of the recipient(s) named above. This message may be an attorney-client communication and/or work product and as such is privileged and confidential. If the reader of this message is not the intended recipient or an agent responsible for delivering it to the intended recipient, you are hereby notified that you have received this document in error and that any review, dissemination, distribution, or copying of this message is strictly prohibited. If you have received this communication in error, please notify us immediately by e-mail, and delete the original message. Water Street Solutions is an equal opportunity provider. Water Street Solutions is an equal opportunity employer.



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