Brown and Brown Financial Service, Inc.
Brown and Brown Securities, Inc.
Member FINRA / SIPC
What information is collected: In compliance with Securities and Exchange Commission, State securities laws and to provide you with financial services, we are required to collect personal, non-public, information on you and your family such as your name, address, social security number, credit reference, telephone number, email address, age, investment objective, risk tolerance, liquidity needs, investment time horizon, investment experience, date of birth, tax bracket, bank accounts, annual income, net worth, value of your residence, if owned, liquid net worth, affiliations with corporations or insurance companies or banks, your employment or occupation, marital status and other personal, non-public, information.
Use of this information: The information is used to allow us to provide financial services to you. Your information is not sold by us to any outside party. Your information is not shared with affiliated or non-affiliated financial institutions by us. Historically your personal information has been kept strictly confidential by us. This policy is also applicable to all former clients.
We make every effort to safeguard your information through password protected email user id and password, computer protected user id and password, custodian broker dealer internet account access through a secure network through password protected user id and password, physical monitoring of all document shredding, and the use of comprehensive software to protect computers from unauthorized access to your information. When possible, we utilize two factor authentication to further secure your information.
Access to information: Your personal information is required to be shared with the Texas Securities Board, Federal and State authorized governmental entities and Federal and State courts as legally ordered under authority through legal proceedings
Personal or financial information may be shared with affiliates such as your advisor representative.
Opt-Out Notice: In the future if we arrange a joint marketing arrangement with another financial institution or non-affiliated third parties we will notify you in writing and allow you to Opt-Out of the sharing of your personal, non-public financial information. If you decide to Opt-Out your request may be made in writing addressed and mailed to Brown and Brown, 6440 North Central Expressway, Suite 107,Dallas, Texas 75206
Brown & Brown Financial Services, Inc.
Brown & Brown Securities, Inc.
Member FINRA / SIPC
5 29 2020
Customer Significant Business Disruption (SBD) Disclosure
In accordance with regulatory requirements and professional business practices, our firm has developed procedures in the event of a SBD. We provide these to you for your information.
A significant business disruption (SBD) is a situation which may cause stress to our clients as we provide our clients with financial services in the areas of transaction order receipt and order entry.
SBDs may take the following forms as a result of weather events, fire, or terrorist actions. They may affect our firm and our customers in varying degrees: a firm-only business disruption, a disruption to a single building, a disruption to a business district, a city-wide business disruption, and a regional disruption
It is our intention to be in a position to continue to serve our customer's needs in any of these SBD events.
The two most serious challenges we will over come is a regional loss of power and telecommunications.
To accomplish the goal of continuing to provide service to our customers in the event that we experience a SBD, we have developed and installed a Business Continuity Plan which we feel will provide a seamless relocation of our office to an alternate location.
In a SBD situation:
1. Your primary contact method will remain our main telephone number:
214-696-1768. Calls will be forwarded to a cell phone. If cell towers are out, call 214-242-9069.
2. For customers with general securities accounts, in the event that our office and cellular telephone services are unavailable, you may contact our Clearing Firm, Hilltop Securities, Inc. at 866-797-5227.
3. For customers that own the American Funds at the American Funds Group, call 800-421-4225.
We are committed to providing every customer with updates to this disclosure should we add improvements or make any changes to our Business Continuity Plan for possible significant business disruptions.
While it is highly recommended that each customer maintain all statements from our Clearing Firm and all mutual fund companies, both our firm and associated firms with which we conduct business have established similar BCPs that contain alternate business locations and back up of all records.
Files coming soon.
Brown and Brown Financial Services, Inc. and Brown & Brown Securities, Inc. reserve the right to negotiate all fees and transaction charges to a level higher or lower than those quoted in this and other bulletins.
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