SOLARIS SECURITIES, INC.
Member FINRA /SIPC
PRIVACY POLICY 6/2009
Solaris Securities Inc., Inc. carries your account with Penson Financial Services as a clearing broker dealer.
At Solaris, we understand that privacy is an important issue for our customers. It is our policy to respect the
privacy of all accounts that we maintain and to protect the security and confidentiality of nonpublic personal
information relating to those accounts. Please note that this policy applies to former customers as well as
current customers.
Personal Information Collected
In order to service your account as a broker dealer, we collect information from you in order to provide the
financial services that you have requested.
The information collected by Solaris may come from the following sources:
• Information received from you, such as your name, address, telephone number, social security number,
occupation, and income;
• Information relating to your transactions, including account balances, positions, and activity;
• 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 your
introducing broker
Sharing of Non Public Personal Information
Solaris does not disclose nonpublic personal information relating to current or former customers to any third
parties, except as required or permitted by law and in order to facilitate the clearing of customer transactions in
the ordinary course of business.
Security
Solaris strives to ensure that our systems are secure and that they meet industry standards. We protect
personal information that is provided to us by maintaining physical, electronic and procedural safeguards that
either meet or exceed applicable law. 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.
Solaris has educated its staff with regard to this privacy policy and as a general policy our staff will not discuss
or disclose information regarding an account except with authorized personnel of your introducing broker or as
required by law or pursuant to regulatory request and/or authority.
Access to Your Information
You may access your account information through a variety of media offered by Solaris and Penson (i.e.
statements or online services). Please contact us if you require any additional information.
Changes to Penson’s Privacy Policy
Solaris reserves the right to make changes to this policy.
How to Get in Touch with Solaris about this Privacy Policy
For more information relating to our privacy policy, please contact: Solaris Securities, Inc. , 24165 IH 10
West, Suite 217-647 San Antonio, TX 78257
