Privacy Policy
At TradingBlock we value our customers, and maintaining customer trust and confidence is our highest priority. While it is necessary that we obtain accurate and current information about our customers in order to provide the highest level of customer service, we are dedicated to protecting the privacy and confidentiality of our customers' information.

Pursuant to Title V of the Gramm-Leach-Bliley Act and United States Securities and Exchange Commission ("SEC") Regulation S-P (17 CFR 248.1-248.30), this document sets forth the Privacy Policy of TradingBlock ("TradingBlock") concerning the privacy interests of individual consumers and customers (described below and hereinafter referred to as "customers") of financial services. TradingBlock is an Illinois corporation with its principal office in Chicago, IL. TradingBlock is a securities broker dealer registered with the SEC. Among its other securities-related memberships and associations, TradingBlock is a member of the Financial Industry Regulatory Authority, Inc. ("FINRA")


TradingBlock's principal business is to act as an broker-dealer in accordance with all laws, rules and regulations applicable to broker-dealers and the business conducted by securities broker-dealers. As a broker-dealer, TradingBlock's principal business is to provide retail brokerage services, pursuant to a written clearing agreement that allocate roles, duties and responsibilities between the clearing or "carrying" firm Penson Financial Services ("Penson") which on an "omnibus" basis, provides certain limited and defined "back office" securities clearing, custodial and processing services and (TradingBlock) the "introducing" or "correspondent" broker dealer (see, e.g., NYSE Rule 382 and NASD Rule 3230).


TradingBlock in its capacity as an broker-dealer and Penson in its capacity as a securities clearing firm receive and/or come into contact with certain nonpublic personal information concerning the current and/or former customers of the "introducing" or "correspondent" broker-dealers for which Penson provides securities clearing services, including but not limited to certain nonpublic personal information related to the securities account(s) that said customers open and/or maintain with said introducing or correspondent broker-dealers. Any and all such nonpublic personal information related to such customers and/or such customers' securities account(s) is hereinafter referred to as "nonpublic personal information". TradingBlock receives and/or comes into contact with the nonpublic personal information only for purposes of conducting its business as described above. For convenience herein, "you" or "you" refers to any and all customer(s) described above.


Nonpublic personal information collected
In conducting its business as described above, TradingBlock collects (or may collect), for example, the following types of nonpublic personal information:
A. Information from you:
(1) information you provide in connection with any securities account, margin loan, debit card any other financial product or service, whether in writing, in person, by telephone,electronically or by      any other means, such as your name, address, social security number, tax ID number, assets, income, investment objectives, financial situation and debt; and
(2) information TradingBlock obtains (or may obtain) for the purpose of tax reporting to you and to the various agencies to which TradingBlock reports as required by law, including disclosures on various Internal Revenue Service ("IRS") forms that TradingBlock collects for tax reporting purposes.
B. Information about your securities and/or other transactions:
(1) information TradingBlock collects and relates to account balance, payment history, trading activity and any other transactions which TradingBlock acts in the capacity of a broker-dealer,
(2) information TradingBlock collects as part of servicing your account(s),
(3) information TradingBlock collects through an Internet "cookie" (an information collecting device from a web server).
C. Information about your transactions with nonaffiliated third parties:
(1) information from nonaffiliated third parties pursuant to law, rules, regulations, standard securities industry practice and/or legal process, including information and/or documents received, shared, produced or provided in connection with a subpoena, discovery request or other legal process compelling production; and
(2) information from nonaffiliated third parties related to servicing your account.
D. Information from a consumer-reporting agency:
(1) information from a consumer reporting agency regarding your creditworthiness or credit history or other information with regards to margin lending or other financial transactions;
(2) information from other outside sources regarding their employment of, credit to or other relationship with you, or verifying representations made by you such as your employment history, loan or credit card balances.