Privacy & Security

Customer Privacy Policies and Practices

Included below are the documents that describe the policies and practices of Moors & Cabot's Customer Privacy.

Download a summary of the Moors & Cabot Customer Privacy Policy and Practices

Protection in an Emergency

Moors & Cabot has developed a comprehensive business continuity plan that is designed to protect your interests in the event of an internal disruption—such as a fire in our building—or an external disruption—such as a terrorist attack or a flood—that affects many brokerage firms and/or U.S. securities market operations.

This carefully crafted, highly detailed plan allows us to recover critical systems and business functions as quickly as possible, minimizing any impact on our ability to communicate with you and meet your investment needs. The plan is managed by senior personnel at our firm and is updated annually to capitalize on technological enhancements and human resource changes.

Customer records, funds and securities are held by our clearing firm, First Clearing1. The firm's primary computer facilities are located in geographically diverse parts of the country for added protection. FCC submits its contingency plan to Moors & Cabot for review on a regular basis, and we are satisfied that the plan adequately protects your interests, including your ability to access your records and assets in the event of an internal or external disruption.

Download a summary of the Moors & Cabot Business Continuity Plan

 

 

1. First Clearing is a trade name used by Wells Fargo Clearing Services, LLC, Member SIPC, a registered broker-dealer and non-bank affiliate of Wells Fargo & Company.