ROBERTSON STEPHENS SECURITIES

Robertson Stephens Securities LLC is a directly owned subsidiary of Robertson Stephens and an affiliate of Robertson Stephens Advisors LLC. RSS provides our clients with brokerage transactional services and is a member of FINRA and SIPC.

The following disclosure is provided on behalf of Robertson Stephens Securities LLC and its registered representatives, collectively “RSS”.

Client access to Robertson Stephens Securities

PRIVACY AND SECURITY NOTICE

Robertson Stephens Securities respects every individual’s right to the privacy of his or her personal information. We consider our relationship with you, our clients, to be our most valuable asset.  

We recognize and strictly adhere to our obligation to keep any information about our clients secure and confidential. We believe it’s important for you to know that we do not share, sell or rent to anyone the information you have entrusted to us. We only permit access to your non-public information to those representatives and employees who need to know that information to provide our services to you. We also maintain stringent physical, electronic and procedural safeguards to guard this non-public information. 

The information we collect comes from our consultations with you, from publicly available sources, and from documents that you may deliver to us in the course of our relationship with you.  We may use this information to provide you with financial advisory or agency services and in doing so, we may share specific information with firms that assist us in providing our services and therefore have a need for such information, as permitted by law.  We may also disclose such information to FINRA, the Securities and Exchange Commission, the State of California and other states or regulatory agencies that oversee our activities.

Since it is the policy of RSS to not share non-public personal and financial information with affiliated or unaffiliated third parties, except as mandated by law, there are no allowances required for clients to opt out.

If the firm, or any of its representatives, terminates its relationship with the other, information that has been disclosed by one to the other may be retained by both parties, if they have so agreed, as a part of a transfer of that portion of the business previously handled by the representative.

ANTI-MONEY LAUNDERING PROCEDURES

In order to help the government fight the funding of terrorism and money laundering activities, Federal law requires us to obtain, verify and record information that identifies each person to whom we provide financial services. This means that when you begin doing business with us, we must ask for information that will enable us to verify your identity. We may also request documentation concerning the legal formation of your organization.

PREPAREDNESS/BUSINESS CONTINUITY PLAN

Robertson Stephens Securities has developed a comprehensive Business Continuity Plan that describes how we will respond to events such as natural disasters, power outages and other occurrences that may significantly disrupt our business. Since the timing and impact of such events is unpredictable in scope and severity, we will need to be flexible in responding to actual events as they occur. 

Our Plan includes steps for safeguarding our employees, our property and the firm’s books and records, and details procedures for conducting a financial and operational assessment that will allow our customers to transact business. In essence, depending on the severity of disruption, our Business Continuity Plan is designed to help us recover and resume operations and begin serving our clients again as quickly as possible.