Privacy Policies

FACTS

WHAT DOES HILLIARD LYONS (HL) DO WITH YOUR PERSONAL INFORMATION?

Why?

Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.

 

What?

The types of personal information we collect and share depend on the product or service you have with us. This information can include:

  • Social Security number, name, address, email address, income, and assets

  • Transaction history and account balances

  • Employment and credit information

When you are no longer our consumer, we continue to share your information as described in this notice.

 

How?

All financial companies need to share consumers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their consumers’ personal information, the reasons HL chooses to share, and whether you can limit this sharing.

 

Reasons we can share your personal information

Does HL share?

Can you limit this sharing?

For our everyday business purposes – such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus

Yes

No

For our marketing purposes – to offer our products and services to you

Yes

No

For joint marketing with other financial companies

No

We don’t share

For our affiliates’ everyday business purposes – information about your transactions and experiences

Yes

No

For our affiliates’ everyday business purposes – information about your creditworthiness

No

We don’t share

For our affiliates to market to you

No

We don’t share

For non-affiliates to market to you

No

We don’t share

 

Questions?

Call 800.444.1854 and ask to speak with HL’s Privacy Officer. This notice is available at https://hilliard.com/privacy-and-account-protection/privacy-policy

 

Who We Are

Who is providing this notice?

In this notice, ‘HL’ means both J.J.B. Hilliard, W.L. Lyons, LLC (‘JJB’), and Hilliard Lyons Trust Company, LLC (‘HLTC’).

JJB is a dually registered broker-dealer and investment adviser that serves clients through a network of Wealth Advisors.

HLTC is a Kentucky-chartered trust company that serves high-net-worth clients with asset management, estate planning, wealth transfer planning, and trust needs.

JJB and HLTC share headquarters at 500 West Jefferson Street, Louisville, KY 40202.

HL Financial Services, LLC (HLFS) owns both JJB and HLTC. HLFS is owned by Houchens Industries, Inc., JJB employees, HLTC employees, and a few individual investors not employed by either LLC.

 

What We Do

How does HL protect my personal information?

To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.

How does HL collect my personal information?

We collect your personal information, for example, when you

  • open an account or deposit money,

  • seek advice about your investments, or

  • give us your income or contact information.

We also collect your personal information from others, such as affiliates, credit bureaus, or other companies.

Why can’t I limit all sharing?

Federal law gives you the right to limit only

  • sharing for affiliates’ everyday business purposes – information about your creditworthiness;

  • affiliates from using your information to market to you; and

  • sharing for non-affiliates to market to you

State laws and individual companies may give you additional rights to limit sharing. See below for more on your rights under state law.

 

Definitions

Affiliates

Companies related by common ownership or control. They can be financial or nonfinancial companies. In our case:

  • J.J.B. Hilliard, W.L.Lyons, LLC (JJB)
  • Hilliard Lyons Trust Company, LLC (HLTC)
  • HL Financial Services, LLC (HLFS)

JJB and HLTC share personal information as stated in the preceding section titled ‘Reasons we can share your personal information’ describing affiliated entities. Neither entity shares personal information with HLFS or any of its unit holders.

Non-affiliates

Companies not related by common ownership or control. They can be financial and nonfinancial companies.

  • HL does not share your information with non-affiliates so they can market to you.

Joint marketing

A formal agreement between nonaffiliated financial companies that together market financial products or services to you.

  • HL is not party to any joint marketing agreements.

 

Other Important Information

Customer Identification Program: In accordance with the USA PATRIOT Act, Federal law requires all financial institutions to obtain, verify, and record information that identifies each individual or entity opening an account. This includes all personal and commercial accounts, including trust, brokerage, insurance, and investment management accounts. When you open an account, you will be asked to provide your name, address, Social Security or Tax identification number, date of birth, and other information that will allow HL to identify you, and you may be asked to provide identifying documents to verify that information.

Broker Protocol: JJB entered into the Protocol for Broker Recruiting on March 13, 2018. This means that, except as to residents of California and Vermont, JJB Wealth Advisors can take a limited amount of information about clients with them if they leave JJB and join another financial services firm. The information a Wealth Advisor can take is limited to client names, addresses, phone numbers, email addresses, and account types.

Nevada: In accordance with Nevada law, we are providing the following contact information: Bureau of Consumer Protection, Office of the Nevada Attorney General, 555 East Washington Avenue, Suite 3900, Las Vegas, NV 89101. Phone: 702.486.3132. Email: bcpi[email protected] or via http://www.ag.nv.gov.

California and Vermont: The information-sharing practices described above are in accordance with federal law. Vermont and Califor- nia law place additional limits on sharing information about Vermont and California residents so long as they remain residents of those states. If you reside in Vermont, we will not share any of your information with our affiliates without your authorization or consent. If you reside in California, we will limit sharing of your information among our affiliates to the extent required by applicable California law.

REV. 6/2018

500 W Jefferson Street | Suite 700
Louisville KY 40202-2815
502.588.8400 | 800.444.1854 | hilliard.com

Our Privacy Principles apply to client information collected or used by either J.J.B. Hilliard, W.L. Lyons, LLC, or Hilliard Lyons Trust Company, LLC, which are both subsidiaries of Hilliard Lyons Financial Services, LLC. All other notices pertain only to J.J.B. Hilliard, W.L. Lyons, LLC. In all notices, “we,” “us,” or “our” refer to the corporate entity or entities.

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