Our Commitment to Privacy.

Why we provide this notice

Financial companies choose how they share your personal information, and federal law (the Gramm-Leach-Bliley Act and Regulation S-P) gives you the right to limit some — but not all — sharing. This notice explains what we collect, how we use and share it, and how we protect it in connection with securities business.

Information we collect

When you become a client or engage with us about securities, we may collect nonpublic personal information such as your name and contact details, Social Security or tax identification number, date of birth, income, net worth and suitability information, and transaction and account history. This information comes from your applications and forms, your transactions, and consumer-reporting or verification sources used in the investment process — through secure account paperwork, not the public website.

How and why we share it

We share nonpublic personal information only as permitted by law to run our business — for example, to process and service your account, respond to legal or regulatory requests, and prevent fraud — and only with the broker-dealer (Aurora Securities, Inc.), any clearing firm, product sponsors, and service providers as needed for these purposes:

• For everyday business purposes (processing transactions, maintaining your account, responding to courts and regulators) — Yes, and you cannot limit this sharing.
• For our own marketing of products and services to you — only as permitted and consistent with your preferences.
• For nonaffiliates to market to you — No. We do not sell your information or share it with nonaffiliated third parties for their own marketing.

How we protect your information

We maintain physical, electronic, and procedural safeguards that comply with applicable law, and we restrict access to your information to people who need it to provide services to you. Sensitive identifiers such as SSN/TIN are handled only through secure channels and are never requested by email or through public web forms.

Former clients & definitions

If you close your account or your relationship with us ends, we continue to apply this notice and protect your information as described. “Affiliates” are companies related by common ownership or control; “nonaffiliates” are companies not related to us; “joint marketing” is a formal agreement between nonaffiliated financial companies to market financial products or services together.

Aurora's notice & questions

Aurora Securities, Inc. maintains its own Regulation S-P privacy notice covering information collected in connection with brokerage accounts, which governs those accounts. Questions: invest@baker1031.com or +1 415 579 1660.