Securities are offered through First Southwest Company, member NASD and SIPC.
Policies and Disclosures
- Privacy Policy
- Margin Disclosure (PDF Download)
- Order Routing Information
- Liberty Partners Financial Services, LLC Business Continuity Plan
Liberty Partners Financial Services Home Office Contact Info
Liberty Partners Financial Services, LLC
4540 California Avenue Suite 530
Bakersfield, CA 93309
Home Office Phone (661) 631-0103
Home Office Fax (661) 631-0905
Colorado operations center phone (970)-266-1356
Privacy Policy Disclosure of Liberty Partners Financial Services, LLC
Privacy Policy
Liberty Partners Financial Services, LLC (Liberty Partners) requires that you provide current and accurate financial and personal information. Liberty Partners will protect the information you have provided in a manner that is safe, secure and professional. Liberty Partners and its employees are committed to protecting your privacy and to safeguarding that information.
Safeguarding Customer Documents
We collect non-public customer data in checklists, forms, in written notations, and in documentation provided to us by our customers for evaluation, registration, licensing or related consulting services. We also create internal lists of such data.
During regular business hours access to customer records is monitored so that only those with approval may access the files. During hours in which the company is not in operation, the customer records will be locked.
No individual who is not so authorized shall obtain or seek to obtain personal and financial customer information. No individual with authorization to access personal and financial customer information shall share that information in any manner without the specific consent of a firm principal. Failure to observe Liberty Partners procedures regarding customer and consumer privacy will result in discipline and may lead to termination.
Sharing Nonpublic Personal and Financial Information
Liberty Partners is committed to the protection and privacy of its customers’ and consumers’ personal and financial information. Liberty Partners will not share such information with any affiliated or nonaffiliated third party except:
· When necessary to complete a transaction in a customer account, such as with the clearing firm or account custodians;
· When required to maintain or service a customer account;
· To resolve customer disputes or inquiries;
· With persons acting in a fiduciary or representative capacity on behalf of the customer;
· With rating agencies, persons assessing compliance with industry standards, or to the attorneys, accountants and auditors of the firm;
· In connection with a sale or merger of [Firm Name]’s business;
· To protect against or prevent actual or potential fraud, identity theft, unauthorized transactions, claims or other liability;
· To comply with federal, state or local laws, rules and other applicable legal requirements;
· In connection with a written agreement to provide investment management or advisory services when the information is released for the sole purpose of providing the products or services covered by the agreement;
· In any circumstances with the customer’s instruction or consent; or
· Pursuant to any other exceptions enumerated in the California Information Privacy Act.
Opt-Out Provisions
It is not a policy of Liberty Partners to share nonpublic personal and financial information with affiliated or unaffiliated third parties except under the circumstances noted above. Since sharing under the circumstances noted above is necessary to service customer accounts or is mandated by law, there are no allowances made for clients to opt out.
Privacy Online
Liberty Partners considers privacy, security and service to be just as critical in the online environment as in the rest of our operation. We therefore employ all of the safeguards described above, along with the following internet-specific practices.
Liberty Partners uses a variety of proven protections to maintain the security of your online session. For example, we make extensive use of firewall barriers, encryption techniques and authentication procedures. We may also use cookies and similar files that may be placed on your hard drive for security purposes, to facilitate site navigation and to personalize the appearance of our site.
When you visit Liberty Partners website, we may collect technical and navigational information, such as computer browser type, internet protocol address, pages visited and average time spent on our web sites. This information may be used, for example, to alert you to compatibility issues, or it may be analyzed to improve our web design and functionality.
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Business Continuity Plan (BCP) of Liberty Partners Financial Services. LLC
Liberty Partners Financial Services, LLC (LPFS) has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
Contacting Us – If after a significant business disruption you cannot contact us as you usually do at 661-631-0103 or 800-440-0442, you should call our alternative number 970-266-1356 or 866-828-1419 or go to our web site. If you cannot access us through either of those means, you should contact our clearing firm, First Southwest, at 214-953-4000 or www.firstswclearing.com for instructions on how it may enter orders, provide access to your funds or securitiesand process other trade-related, cash, and security transfer transactions for you.
Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
Our clearing firm, First Southwest, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments as soon as possible. Your orders and requests for funds and securities could be delayed during this period.
Varying Disruptions – Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business as soon as possible. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business as soon as possible. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site or our customer emergency number, 970-266-1356 or 866-828-1419. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.
For more information – If you have questions about our business continuity planning, you can contact us at 661-631-0103.
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