Jennings Capital (USA) Inc.
U.S. DISCLAIMER
NOTICE TO ALL U.S. PERSONS
Jennings Capital (USA) Inc. is a registered securities dealer in the United States. The information contained on this website is not intended for general publication in the United States. Certain Institutional investors in the United States may access information on this site on a pre-approved basis. Please contact your Jennings Capital (USA) Inc. representative for further information.
Jennings Capital (USA) Inc. will only open accounts in those jurisdictions in which it is registered.
Jennings Capital (USA) Inc. is a member of the Securities Investor Protection Corporation.
Privacy Policies - Jennings Capital (USA) Inc.
Please read this Policy in its entirety before using this Web site!
The following Privacy Policy applies to your brokerage account with Jennings Capital (USA) Inc. This Privacy Policy is in addition to the customer agreements governing your brokerage account.
Purpose for Collecting Personal Information
Jennings Capital (USA) Inc. understands the importance of protecting your personal information. Personal information obtained during the registration process may be used by Jennings Capital (USA) Inc. to open, maintain and secure your account and to improve Jennings Capital (USA) Inc. service to you. You may obtain copies of, or amend the personal information previously provided by you to Jennings Capital (USA) Inc. by contacting our Compliance Department. Inquiries or complaints regarding this policy should be directed to Jennings Capital (USA) Inc. - Compliance Department, Suite 2600, 520 – 5th Ave S.W. Calgary, AB T2P 3R7.
Disclosure of Personal Information
Jennings Capital (USA) Inc. does not disclose your personal information to third parties other than in the following circumstances: (a) in connection with the business operations of Jennings Capital (USA) Inc. to improve, maintain and service your account; (b) as required or allowed by applicable law or the by-laws, rules, regulations or polices of regulatory bodies having jurisdiction over the business and affairs of Jennings Capital (USA) Inc.; (c) to Jennings Capital (USA) Inc. legal or accounting professional advisors as may be required from time to time; and (d) in an aggregated form (i.e. not individual) for the purposes of statistical analysis of the business operations of Jennings Capital (USA) Inc. Otherwise, Jennings Capital (USA) Inc. will seek your informed consent prior to disclosing any such personal information.
Protection of Information
Jennings Capital (USA) Inc. protects your personal information by storing it in locations that are designed to prevent the loss, misuse, unauthorized access, disclosure, alteration or destruction of that information. Jennings Capital (USA) Inc. protects your account information by requiring you to enter a unique User Name and Password each time you want to access your account information. YOUR USER NAME AND PASSWORD ARE CONFIDENTIAL AND SHOULD NEVER BE DISCLOSED OR SHARED WITH ANYONE. You should immediately notify Jennings Capital (USA) Inc. by telephone and in writing of any unauthorized use of your User Name and Password, or if you know or suspect that your User Name or Password have been lost or stolen or become known to any other person.
Collection of Information
Jennings Capital (USA) Inc. collects personally identifying information about you when you provide it. The information collected may include your name, address, telephone number and email address, as well as other personal information prescribed by law for the purposes of opening a brokerage account with Jennings Capital (USA) Inc.
Important Information about Procedures for Opening a New Account.
To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.
These are the answers to some questions regarding our Customer Identification Program.
What types of information will I need to provide?
When you open an account, we will ask for your:
- U.S. citizen: taxpayer identification number (Social Security number or employer identification number)
- Non-U.S. citizen: taxpayer identification number; passport number and country of issuance; alien identification card number; or government-issued identification showing nationality, residence and a photography of you.
We may also ask to see your driver’s licence or other identifying documents.
A corporation, partnership, trust or other legal entity may need to provide other information, such as its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business licence, a partnership agreement or a trust agreement.
U.S. Department of the Treasury, Securities and Exchange Commission, FINRA and New York Stock Exchange rules already require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives and risk tolerance.
What happens if I do not provide the information requested or my identity cannot be verified?
Your firm may not be able to open an account or carry out transactions for you. If your firm has already opened an account for you, they may have to close it.
Statement of Condition
The Statement of Financial Condition of the most recent annual audit report for Jennings Capital (USA) Inc. is available for examination.
To request a copy of this report please contact Jennings Capital (USA) Inc. at 1-888-292-0970.
SECURITIES INVESTOR PROTECTION CORPORATION (SIPC)
Jennings Capital (USA) Inc. is a member of the Securities Investor Protection Corporation.
FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA)
The Financial Industry Regulatory Authority (FINRA) is the largest non-governmental regulator for all securities firms conducting business in the United States.
