Havana-Vista As Introducing Broker
Havana-Vista, acting as an introducing broker to its clearing broker Pershing LLC, carries the responsibilities for custody of your assets and transacting on your behalf. Information about Pershing’s role is available in our Customer Agreement. In addition, Pershing makes available its own Privacy Statement on the Havana-Vista website, which you should review.
Personal information is information that we can use to identify you as an individual. This information can include your name, address, telephone number, Social Security number, date of birth and other information that is connected with your identity. We collect personal information in part to meet compliance with regulatory requirements, such as the specific information we gather about you on our account application and other forms. With a customer’s consent, we may contact other vendors such as credit bureaus to verify the customer’s identity. Havana-Vista may also be required to protect our own legal rights in certain situations where we are trying to enforce a customer’s obligations to maintain a brokerage account in good order with us. In those cases, we are required to share limited information about you or your account, but require that the vendor maintain the information as confidential and not to repurpose the information for their own use in any way. We are required to provide your personal information to agencies such as the IRS, securities regulatory agencies, and other regulatory government entities, and in certain cases, as required by law in response to judicial orders. Regulatory rules require broker-dealers like Havana-Vista to retain personal information and records of account activity for defined periods of time that extend beyond the time you no longer maintain an active account with us. In addition, we can collect other personal information to help enable us to identify needs our customers have and provide products and services designed to meet those needs. Havana-Vista can use personal information collected from you for purposes such as:
responding to requests for specific products and services;
efforts to improve the design and content of the website or other features made available by the firm;
contacting you about new offers or enhancements to products and services.
We may share your information with third parties who help us in the delivery of our own products and services to you. We disclose information to companies and individuals we employ to perform functions on our behalf. Examples include hosting our Web servers, analyzing data, providing marketing assistance, and providing customer service. These companies and individuals will have access to your personal information as necessary to perform their functions, but they may not share that information with any other third party. Aggregate information is information that we collect in general about Havana-Vista web site users on an anonymous basis. We may share aggregate demographic and usage information with business partners, advertisers and other third parties to enhance our ability to make improvements to our products and services or for other academic purposes.
help our visitors navigate the website
facilitate the registration and login process for our services
personalize your experience
analyze our visitors’ visits and usage of product features
measure advertising and promotional effectiveness