Privacy Policy

Goldwater Corporate Finance LLC Privacy Policy

Our commitment to your privacy: Goldwater Corporate Finance LLC (Goldwater) has a long-standing policy of protecting the confidentiality and security of information Goldwater collects about its customers. Goldwater will not share non-public personal information about you (“Information”) with third parties without your consent, except for the specific purposes described below. This notice describes the Information Goldwater may gather and the circumstances under which Goldwater may share it.

Collection of Information: Goldwater collects and uses the Information to deliver superior service to you. Such service includes maintaining your accounts with Goldwater, processing transactions requested by you and administering Goldwater’s business. Goldwater gets most Information directly from you when you apply for, access and use financial products and services offered by Goldwater – whether in person, by telephone or electronically. Goldwater may verify this information or get additional information, including creditworthiness or credit history, from other financial institutions or service providers with whom you may have authorized to provide such information and/or consumer reporting agencies, verification services or public sources. This Information may relate to your finances, employment, avocations or other personal characteristics, as well as interactions with or through Goldwater or others.

Disclosure of Information: Goldwater may not disclose Information about you to affiliates or non-affiliated third parties except as permitted by law or consented to by you. For example, Information may be disclosed:

  • In connection with Goldwater’s administration and operations and Goldwater’s products and services,
  • To Goldwater’s brokers, attorneys, accountants, auditors, administrators or other service providers;
  • To respond to a subpoena or court order, judicial process or governmental or regulatory inquiry (including regarding money laundering);
  • In connection with a proposed or actual sale, merger, or transfer of all or a portion of Goldwater’s business;
  • To protect or defend against fraud, unauthorized or violative transactions (such as money laundering violations), law suits, claims or other liabilities; and
  • To assist in offering Goldwater-affiliated products and services to you.


The foregoing may include responses to inquiries for purposes of compliance with anti-money laundering and anti-terrorist due diligence, disclosure or reporting requirements. Except in those specific, limited situations, without your consent, Goldwater does not make disclosures of Information to other companies who may want to sell their products or services to you. For example, Goldwater does not sell customer lists and will not sell your name to a catalogue company . It is Goldwater’s general policy to require all third parties, other than your broker, that are to receive any Information to sign strict confidentiality agreements.

To Whom This Policy Applies: This Privacy Policy applies to financial products or services provided by Goldwater, used primarily for business purposes by Goldwater’s customers (former, present and future).

Protection of Information: Goldwater maintains physical, electronic and procedural safeguards that comply with federal standards to protect customer information. Goldwater restricts access to the personal and account information of customers to those employees who need to know that information in the course of their job responsibilities.

Access to and Correction of Information: If you desire to review any file Goldwater may maintain regarding your Information, please contact your account manager. If you or your account manager notifies Goldwater that any Information is incorrect, Goldwater will review it. If Goldwater agrees, Goldwater will correct its records. If Goldwater does not agree, you may submit a short statement of dispute, which Goldwater will include in future disclosures of the disputed Information. Information collected in connection with, or in anticipation of, any claim or legal proceeding will not be made available.

Further Information: Goldwater reserves the right to change this Privacy Policy. The examples contained within this Privacy Policy are illustrations and they are not intended to be exclusive. This notice complies with Federal law and SEC regulations regarding privacy. You may have additional rights under other foreign or domestic laws that may apply to you.