Privacy Policies
Mariva Capital Markets, LLC, (referred collectively as "MCM" "us" "we" or "our") or the “Firm” services your brokerage account as an introducing broker-dealer by arrangement with its clearing broker-dealer Pershing, LLC (“Pershing”). At MCM, we know that privacy is an important issue for clients. It is our policy to respect the privacy of all accounts that we serve as introducing broker and to protect the security and confidentiality of nonpublic personal information relating to those accounts.
Consumer Privacy Notice
MCM is a FINRA and SEC registered broker-dealer and believes in protecting the confidentiality and security of information we collect about individuals. This notice describes the privacy policy followed by MCM regarding how we treat the information we receive ("Information") about individuals who apply for or obtain our products or services ("Individuals") and the third parties with whom we may share this information.
Information We Collect
In order to service your account as a brokerage firm, MCM obtains public and "Non-Public Information" from you, and third parties that service your account. This information is collected in order to provide the financial services you have requested. We collect Non-Public Personal Information about Individuals from the following sources:
Information provided to us directly by an Individual on an application or other form or through discussion with our associates in connection with our products or services. This may include but is not limited to: name, date of birth, address, telephone number, email address, social security number, occupation, investment experience, assets, and income;
Information about an individual’s transactions with us, our affiliates, or others, such as account balance, payment history, parties to a transaction, credit/debit card usage, credit report and insurance policy coverage and premiums;
Information which may be received from consumer reporting agencies, such as credit bureau reports and other Information relating to your creditworthiness; and
Information which may be received from other sources with your consent or with the consent of the investment consultant/advisor or clearing broker servicing your account.
Sharing Of Non-Public Information
In connection with servicing your account, your nonpublic personal information may be shared among entities named in this notice, their affiliates, and no-affiliates who provide services regarding or relating to your account, including transfer agents or other service companies. Our affiliates and any non-affiliated service providers are required to protect the confidentiality of your information and to use the information only for the purposes for which disclosure to them is made. The information shared is not sold or rented, nor it is shared for marketing or solicitation purposes. Service providers restrict access to nonpublic personal information about you to those employees who need to know that information to provide products and services to you. We, our affiliates, and the service providers we use maintain physical, electronic, and procedural safeguards to maintain the security of your nonpublic personal information.
Disclosure Of Information About Current and Former Customers
We do not disclose nonpublic personal Information of current or former customers to any third parties except as required or permitted by law and in order to facilitate the maintenance of accounts, processing, and clearing transactions in the ordinary course of business.
Protecting Confidentiality And Security
MCM treats Information in a confidential manner. Our employees are required to protect the confidentiality of Information maintained by the Firm. Employees may access Information only when there is an appropriate reason to do so, such as to administer or offer our products and services. MCM strives to ensure that our systems are secure and that they meet industry standards. Our commitment to data security involves monitoring new advances in security technology and enhancing our security architecture to ensure that we provide a high level of privacy for investment services firms and their customers. Where appropriate, we employ firewalls, encryption technology, user authentication systems (i.e. passwords and personal identification numbers) and access control mechanisms to control access to systems and data. Third parties who may have access to such personal Information must also agree to follow appropriate standards of security and confidentiality.
Access To Your Information
You may access your account Information through a variety of media offered by MCM and by our clearing firm (i.e., statements or online services). Please contact MCM if you require any additional Information.
Protection Of Your Information
You can help safeguard your personal Information by taking a few simple precautions, which include but are not limited to:
Do not disclose your account Information, personal identification numbers, passwords or code words to others;
Never provide confidential Information to unknown callers;
When utilizing the internet, be sure to use a secure browser and exit online applications as soon as you finish using them; and
Ensure your personal computer has virus protection software and never open email from unknown sources.
Changes To This Policy
MCM reserves the right to make changes to this policy.
How To Contact Us About This Privacy Policy
If you have any questions after reading this Privacy Policy, please contact us by writing to
Privacy Management, c/o Compliance Department, Mariva Capital Markets, LLC.
150 SE 2nd Ave. Suite PH-3, Miami, Florida 33131.
Telephone: 305-712-6999. Fax: 305-712-6922
or Email: compliance@marivacm.com
Business Continuity Plan
Mariva Capital Markets, LLC (“MCM”) has provisions in place to continue to operate and provide services to our customers in the event of a significant business disruption, whether on a firm only basis or city/regional basis. Within each of these areas, the severity of the disruption might vary from minimal to severe. MCM plans to quickly recover and resume business operation by safeguarding our employees and property, making financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business.
MCM’s Business Continuity Plan addresses data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators, alternate physical locations of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; reporting; and assuring our customers prompt access to their funds and securities if MCM is unable to continue business.
In the event of a disruption only at the firm’s main office location, arrangements have been made to conduct services at alternate locations unaffected by the disruption. Recovery time in the event of a disruption is anticipated to be minimal, although certain records may have to be retrieved from an off-site storage location or possibly re-produced in order to continue services.
In a disruption affecting our business district, city or region, MCM’s response will rely more heavily on other organizations and systems, especially on the capabilities of our clearing firm, Pershing LLC. In the event that MCM determines it is unable to continue its business, MCM will assure customers prompt access to their funds and securities.
In the event of a significant business disruption customers should contact the MCM’s main office number at 305.712.6999 or contact our clearing firm, Pershing LLC 201.413.5368 or the number and address listed on your account statement for further instructions on how to process limited trade-related transactions, cash disbursements and security transfers. Your orders and request for cash and securities could be delayed during this period.
MCM’s Business Continuity Plan is subject to modification at any time. A complete copy of the firm’s business continuity plan or updated plan is available upon request.
If you have any questions about the Business Continuity Plan, please contact us at 305.712.6999, fax: 305.712.6920, or email: compliance@marivacm.com
