Privacy Notice

Reynolds Advisory Partners, LLC recognizes the importance of keeping our customers' confidential financial information private. This is a top priority for Reynolds Advisory Partners. This Privacy Notice, which is required by law, explains our Privacy Policies.

1. We will safeguard, according to strict standards of security and confidentiality, nonpublic, personal information our customers share with us. “Nonpublic, personal information,” for example, would include such information as your name, address, social security number, and credit information. We will maintain safeguards, physical and electronic, to protect that information. We will conduct our business in a manner that keeps personal customer information secure.

2. We will limit the collection and use of customer information to the minimum we require to deliver superior service and to administer our business, recognizing, however, that we do need to obtain information to make suitable recommendations and to conduct appropriate “due diligence” in our investment banking business. We collect personal information from customers from the following sources:

  • From customers on subscription agreements, applications and related forms;
  • From your transactions with us, our affiliates and others;
  • From consumer reporting agencies;
  • From non-affiliated third parties.

3. It is our policy that only authorized employees of Reynolds Advisory Partners, their agents and their staff who need to know your personal information will access it and use it. Workers of Reynolds Advisory Partners who violate our Privacy Policies are subject to discipline.

4. It is our policy that we will not share personal customer information (of either current or former customers) outside of Reynolds Advisory Partners for any purpose other than the providing of investment banking services or the brokering or underwriting of securities transactions on behalf of the customer, unless the disclosure has been authorized by the customer or is permitted by law.

5. Whenever we retain other organizations to provide support services on behalf of Reynolds Advisory Partners we will require them to protect customers' personal information.

6. When necessary, we will review and revise our Privacy Policies to protect personal customer information.


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.

What this means for you: When you open account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver's license or other identifying documents.


Reynolds Advisory Partners, LLC is a member of the Securities Investor Protection Corporation (SIPC). Customers may obtain information about SIPC, including a SIPC brochure, by accessing SIPC's website at or by calling (202) 371-8300.


Per FINRA regulations, Reynolds Advisory Partners LLC has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions ARE 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.

Our business continuity plan addresses the following: data back-up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, and bank impact; and regulatory reporting.

If after a significant business disruption you cannot contact us as you usually do at (626) 316- 6100, you should go to our website at

Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within one business day. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within five business days. In either situation, we plan to continue in business, and notify you through our website ( regarding how to contact us. If you have questions about our business continuity planning, you can contact us at (626) 316- 6100.