First Trust Direct Indexing L.P. (FTDI) is committed to maintaining the privacy of our current, former, and prospective clients. We recognize that you entrust us with highly confidential personal and financial information, and we understand that protecting and safeguarding this information is important.
FTDI does not disclose nonpublic personal information about our current or former clients to third parties other than as described below. We do not sell nonpublic personal information about clients to anyone.
The Information We Collect About You
The type of personal information we collect depends on the products and services you have with FTDI. You typically provide personal information when you complete the paperwork to make use of our investment management services. This information can include, but is not limited to, your Address, Phone Number(s), Email Address, Social Security Number, Date of Birth, Banking Information, Financial Account Numbers and/or Balances, Sources of Income, and Credit Card Numbers or Information. In addition, we may collect nonpublic information about you from the following sources:
- Information we receive on Brokerage Agreements, Managed Account Agreements, and other Subscription and Account Opening Documents;
- Information we receive in the course of establishing a customer relationship including, but not limited to, applications, forms, and questionnaires;
- Information about your transactions with us or others
Information About You That FTDI Shares
FTDI works to provide products and services that benefit our customers. We may share nonpublic personal information with non-affiliated third parties (such as brokers and custodians) as necessary for us to provide agreed products and services to you consistent with applicable law. We may also disclose nonpublic personal information to other financial institutions with whom we have joint business arrangements for proper business purposes in connection with the management or servicing of your account. In addition, your nonpublic personal information may also be disclosed to you, persons we believe to be your authorized agent or representative, regulators in order to satisfy FTDI’s regulatory obligations, and is otherwise required or permitted by law. Lastly, we may disclose your nonpublic personal information to companies we hire to help administer our business. Companies we hire to provide services of this kind are not allowed to use your personal information for their own purposes and are contractually obligated to maintain strict confidentiality. We limit their use of your personal information to the performance of the specific service we have requested.
Confidentiality and Security
FTDI restricts access to nonpublic personal information about you to those who need to know that information to provide services to you. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your personal information.