Legal & Privacy
DISCLAIMER: This Web site and/or the mobile software application (“Mobile App”) is for informational purposes only and does not constitute a complete description of our investment services or performance. This Web site and/or the Mobile App is in no way a solicitation or offer to sell securities or investment advisory services except, where applicable, in states where we are registered or where an exemption or exclusion from such registration exists. Each investor should consult his/her own advisors regarding the legal, tax, and financial suitability of this investment for him/her. No person should invest who is not, either alone or with his/her advisors, able to evaluate the merits and risks of this investment. Information throughout this site, whether stock quotes, charts, articles, or any other statement or statements regarding market or other financial information, is obtained from sources which we and our suppliers believe reliable, but we do not warrant or guarantee the timeliness or accuracy of this information. Nothing on this Web site and/or the Mobile App should be interpreted to state or imply that past results are an indication of future performance. Neither our information providers nor Curian Capital® shall be liable for any errors or inaccuracies, regardless of cause, or the lack of timeliness of, or for any delay or interruption in the transmission thereof to the user. Any person relying upon this information shall be solely responsible for the consequences of such reliance. THERE ARE NO WARRANTIES, EXPRESSED OR IMPLIED, AS TO ACCURACY, COMPLETENESS, OR RESULTS OBTAINED FROM ANY INFORMATION POSTED ON THIS WEBSITE AND/OR THE MOBILE APP OR ANY ‘LINKED’ WEB SITE OR MOBILE APP.
COPYRIGHT NOTICE: “The contents of the Curian Capital® sites on the Internet and the Mobile App are protected by applicable copyright laws. No permission is granted to copy, distribute, modify, post or frame any text, graphics, video, audio, software code, or user interface design or logos. ALL INFORMATION AND CONTENT ON THE CURIAN CAPITAL® WEB SITES AND MOBILE APPS ARE, SUBJECT TO APPLICABLE STATUTES AND REGULATIONS, FURNISHED “AS IS,” WITHOUT WARRANTY OF ANY KIND, EXPRESS OR IMPLIED, INCLUDING BUT NOT LIMITED TO IMPLIED WARRANTIES OF MERCHANTABLILITY, FITNESS FOR A PARTICULAR PURPOSE, OR NON-INFRINGEMENT. THE THIRD-PARTY MARKS APPEARING ON THIS WEB SITE AND THE MOBILE APP ARE THE PROPERTY OF THEIR RESPECTIVE OWNERS. ALL OTHER MARKS APPEARING ON THE WEB SITE AND THE MOBILE APP ARE THE PROPERTY OF CURIAN CAPITAL® OR AN AFFILIATED COMPANY.”
Preserving trust is a core value of Curian Clearing LLC and our affiliates. We recognize that you expect us to protect information you provide us and to use it responsibly while you are our client and after you cease to be our client. We are strongly committed to fulfilling the trust that is the foundation of your expectations. We have adopted and adhere to the following policy regarding the privacy of your personal information.
Also, on July 30, 2015, Curian Capital, LLC (“Curian Capital”) announced it will no longer accept new accounts, effective July 31, 2015. On February 19, 2016, the Curian Custom Style Portfolio Solicitor Program terminated. The Asset Management Services Agreement (AMSA) with Curian Capital, LLC and the Brokerage Services Agreement (BSA) with Curian Clearing LLC terminated concurrently.
Information That We Collect
We collect and, to the extent required by law retain, nonpublic personal information about you that may include your social security number, your bank account number, and other financial account information from some or all of the following sources:
- Information we receive from you on instruction forms, fact-finding questionnaires, and other account related inquiries;
- Your transactions with us, our affiliates, and those product sponsors with whom we have vendor or service agreements, or other arrangements for the provision of services to you; and
- Consumer reporting agencies.
Information That We Disclose
We will not share nonpublic personal information concerning our current or former customers with affiliated or unaffiliated third parties, except as permitted by law. In accordance with the foregoing, we may disclose the information we collect to companies who help us maintain and service your account. In addition, we may share the information we collect to protect against fraud or to respond to subpoenas.
Generally, we disclose the information listed above to affiliates and unaffiliated third parties that provide services to us in order that we may more effectively and efficiently service your account. We also disclose your nonpublic personal information to affiliated or unaffiliated third parties with whom we have contractual relationships that allow us to provide services to you. Examples of third parties with whom we may share your nonpublic personal information include:
- Banks and other financial institutions with which we have arrangements for the provision of our services; and
- Companies that provide services to us to assist with locating lost security holders, the maintenance of required books and records, or to facilitate mailings on our behalf.
Where we share your nonpublic personal information with third parties for the purposes noted above, we ensure that there are contractual restrictions on their use and disclosure of that information.
Steps We Take to Protect Your Information
We have security practices and procedures in place to prevent unauthorized use or access to your nonpublic personal information. Internally, your information is only available to those employees requiring access to process or service your transactions with us, and those employees fulfilling compliance, legal, or audit functions on our behalf. In order to prevent access by unauthorized personnel, we employ other physical, electronic, and procedural safeguards to ensure that protection of your information in accordance with state and federal privacy regulations.