Collins Capital Advisors Legal Infomation
- Company Information
Collins Capital Advisors, LLC
1133 Avenue of the Americas, 16th Floor
New York, New York 10036
- Email disclaimer
Collins Capital Advisors, LLC ("CCA") is affiliated with John B. Collins Associates, Inc. and with its direct and indirect subsidiaries, directors, divisions, branches and affiliates. CCA is regulated in the United States of America by the Financial Industry Regulatory Authority, Inc. ("FINRA"). John B. Collins Associates, Inc. is a reinsurance intermediary. Any securities products or services are offered or provided by CCA. CCA is a wholly-owned subsidiary of Collins Capital Holdings, LLC ("CCH") which is a wholly-owned subsidiary of John B. Collins Associates, Inc. (together, with their subsidiaries and affiliates, "Collins")
The Collins group of companies gathers its data from sources it considers reliable; however, it does not guarantee the accuracy or completeness of the information provided within this publication. The material presented reflects information known to the authors at the time this publication was written, and this information is subject to change. Collins makes no warranties regarding the accuracy of this material. Officers, employees and directors in the Collins group of companies may hold positions in the securities of the companies discussed or which it advises. This publication does not constitute a recommendation with respect to the securities of any company discussed herein, is not intended to provide information upon which to base an investment decision, and should not be construed as such. CCA or its affiliates may from time to time provide investment banking or related services to any companies mentioned.
Please read and consider the following important information listed below about Company e-mails:
Receipt in Error: The e-mail messages and any files you have received are intended solely for the addressee(s) and may be legally privileged and/or confidential. If you are not the intended recipient please notify the sender, delete the message and all copies of it from your system, and destroy any hard copies. You should not divulge, copy, forward, or use the contents, attachments, or information in any way. Any unauthorized use or disclosure is prohibited and may be unlawful.
Intended Recipient: Any investment-related information provided in Company e-mails or attachments is solely intended for institutional or professional investors. Private or individual investors should disregard any such information contained therein. If you are the intended recipient do not distribute this message without the express written consent of the Company.
Accuracy & Content: E-mail sent through the Internet is not secure. Collins provides no warranty as to the accuracy or completeness of e-mail messages sent over the Internet and accepts no responsibility for changes made after they are sent. Any opinion expressed in an e-mail message is personal to the author, may not necessarily reflect the opinion of Collins and may be subject to change without notice.
Collins makes no representations or warranties, express or implied, concerning the accuracy or completeness of any projections, forecasts, estimates or opinions contained in any e-mail messages. Any projections, forecasts or other estimates, including estimates of returns or performance and/or forward looking statements, are indicative only and do not purport to be anything else and may be affected by changes in market conditions.
Past performance should not be taken as an indication or guarantee of future performance, and no representation or warranty, express or implied, is made regarding future performance.
Regulation: Where investment-related information is provided in CCA or Collins e-mails or attachments, such information is not a complete analysis of every material fact concerning any company, industry, or security mentioned. The information is provided "AS IS", has been prepared for general distribution, and is circulated for informational purposes only, without regard to any particular reader's investment objectives, financial situation, or means. Neither CCA nor Collins is not soliciting any action based upon their e-mails or attachments. The information should not be construed as a recommendation, an offer to buy or sell, or a solicitation of an offer to buy or sell any security, financial product, or instrument. This information does not constitute a confirmation of any transaction.
Personal Information: Any personal information contained in an e-mail is provided solely for the purpose stated in the message and must not be disclosed to any third-party or used for any other purpose without consent.
Agreements: This Disclaimer is in addition to any other disclaimer or disclosure that may be displayed by CCA or Collins at this website, or clicked through, or otherwise agreed to by any person or entity accessing this Website.
Monitoring: CCA and Collins reserve the right to monitor all incoming and outgoing e-mail.
- Customer Privacy Statement
CCA is committed to safeguarding customer information and protecting your privacy. Accordingly, we want you to understand what information we gather and how we share it. This Customer Privacy Statement explains our collection, use and safeguarding of this information.
We collect nonpublic personal information about you from the following sources:
- Information we receive from you on applications or other forms;
- Information about your transactions with us, our affiliates, or others; and
- Information we receive from a consumer reporting agency.
We do not disclose any nonpublic personal information about our customers or former customers to anyone, except as permitted by law. Such disclosures as permitted by law include: information we need to disclose in response to a subpoena by the SEC or by FINRA (click www.finra.org to open the FINRA web site in a new window) investigation, and customer information we need to provide to Sterne, Agee & Leach, Inc. and Sterne Agree Clearing, the firms that we use to clear customer securities transactions for us, to complete customer transactions.
We restrict access to nonpublic personal information about you to CCA, CCH, and Collins employees on a need to know basis to provide products or services to you. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your nonpublic personal information.
- Business Continuity
COLLINS CAPITAL ADVISORS, LLC
BUSINESS CONTINUITY SUMMARY STATEMENT
Collins Capital Advisors, LLC has developed a Business Continuity Plan regarding how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
Contacting Us - If after a significant business disruption you cannot contact us as you usually do at gregory.clapp@collins.com or (212) 292-7693, you should call our alternative number at (914) 413-2321.