Privacy Policy

Effective date: July 6th, 2023


This Privacy Policy pertains to the Balmoral Advisors website, (“Site”) and other services (collectively, the “Services”) made available to you by Balmoral Advisors Securities LLC (“Balmoral Advisors”, “we”, “our”, “us”). This Privacy Policy is intended to inform our users (“user(s)”, “you”, or “your”) about how we may collect and use the personal information that you provide through your use of and access to the Services, the manner in which we may use such information, how we protect it, and the choices available to you regarding our use of your personal information.

Information collection and use

We collect different types of information for various purposes to provide you with and improve our Services.

Types of data collected


In this Privacy Policy, we refer to any information that can uniquely identify an individual (including the information below) as “Personal Information”. See the list below for more information about what Personal Information we collect and why.

  1. Name
  2. Email Address
  3. Phone Number

We may use your Personal Information to contact you with newsletters, announcements, and other information that may be of interest to you. You may opt out of receiving any, or all, of these communications from us by unsubscribing.


Usage data

We may also collect information that your browser and/or mobile device sends whenever you access or use the Services (“Usage Data”).

This Usage Data may include information such as your computer’s Internet Protocol address, browser type, browser version, the pages of our Service that you visit, the time and date of your visit, the time spent on those pages, unique device identifiers and other diagnostic data.

When you access the Services with a mobile device, this Usage Data may include information such as the type of mobile device you use, your mobile device unique ID, the Internet Protocol address of your mobile device, your mobile operating system, the type of mobile Internet browser you use, unique device identifiers and other diagnostic data.


Cookies data

We use cookies and similar tracking technologies to track the activity on the Services.

Cookies are files with a small amount of data which may include an anonymous unique identifier. Cookies are sent to your browser from a website and stored on your device. Other tracking technologies are also used such as beacons, tags and scripts to collect and track information and to help us improve and analyze the Services.

You can instruct your browser to refuse all cookies or to indicate when a cookie is being sent. However, if you do not accept cookies, you may not be able to use some portions of the Services.

Examples of Cookies we use:

  1. Session Cookies: We use Session Cookies to operate the Services.
  2. Preference Cookies: We use Preference Cookies to remember your preferences and various settings.
  3. Security Cookies: We use Security Cookies for security purposes.
  4. Advertising Cookies: Advertising Cookies are used to serve you with advertisements that may be relevant to you and your interests.


Use of data

We use the collected data for various purposes:

  1. to provide and maintain the Services;
  2. to notify you about changes to the Services;
  3. to provide customer support;
  4. to gather analysis or information so that we can improve the Services;
  5. to monitor the usage of the Services;
  6. to detect, prevent and address technical issues;
  7. to fulfill any other express purpose for which you provide it;
  8. to carry out our obligations and enforce our rights arising from any contracts entered into between you and us, including for billing and collection;
  9. to provide you with news and general information about other services which we offer that are similar to those that you have already purchased or inquired about unless you have opted not to receive such information;
  10. in any other way we may describe when you provide the information;
  11. for any other purpose with your consent.



Our Services are not intended for individuals under the age of 18 (“Children”). We do not intentionally collect Personal Information from Children. If you are the parent or guardian and believe your child has provided us with Personal Information, please contact us at to request deletion.


Sharing personal information

We may employ third-party companies and individuals to facilitate our Service and provide the Services on our behalf, perform Service-related services or assist us in analyzing how the Services are used.

These third parties have access to your Personal Information only to perform these tasks on our behalf and are obligated not to disclose or use it for any other purpose.



We will retain your Personal Information only for as long as is necessary for the purposes set out in this Privacy Policy. We will retain and use your Personal Information to the extent necessary to comply with our legal obligations (for example, if we are required to retain your data to comply with applicable laws), resolve disputes, and enforce our agreements and policies.

We will also retain Usage Data for internal analysis purposes. Usage Data is generally retained for a shorter period, except when this data is used to strengthen the security or to improve the functionality of the Services, or we are legally obligated to retain this data for longer time periods.


Transfer of data

Your information, including Personal Information, may be transferred to – and maintained on – computers located outside of your state, province, country or other governmental jurisdiction where the data protection laws may differ from those of your jurisdiction.

If you are located outside of the United States and choose to provide information to us, please note that we transfer the data, including Personal Information, to the United States and process it there.

Your consent to this Privacy Policy followed by your submission of such information represents your agreement to that transfer.

We will take all the steps reasonably necessary to ensure that your data is treated securely and in accordance with this Privacy Policy and no transfer of your Personal Information will take place to an organization or a country unless there are adequate controls in place including the security of your data and other personal information.


Disclosure of data

We may disclose Personal Information that we collect, or you provide, as follows:


Disclosure for Law Enforcement.

Under certain circumstances, we may be required to disclose your Personal Information if required to do so by law or in response to valid requests by public authorities.


Business Transaction.

If we or our subsidiaries are involved in a merger, acquisition or asset sale, your Personal Information may be transferred.


Other cases.

We may disclose your information also:

  1. for any other purpose disclosed by us when you provide the information;
  2. with your consent in any other cases;
  3. if we believe disclosure is necessary or appropriate to protect our rights, property, or safety or the rights, property or safety of our customers or others; and
  4. internally to other members based on internal services you agree to the use of.


Security of data

The security of your data is important to us but remember that no method of transmission over the Internet or method of electronic storage is 100% secure. While we strive to use commercially acceptable means to protect your Personal Information, we cannot guarantee its absolute security.



If you are a resident of or located within the European Economic Area (EEA), Switzerland or the UK, you have certain additional data protection rights. These rights include:

  1. The right to access, update or delete the information we have on you. Whenever made possible, you can access, update or request deletion of your personal information directly within your account settings section.
  2. The right of rectification. You have the right to have your information rectified if that information is inaccurate or incomplete.
  3. The right to object. You have the right to object to our processing of your personal information.
  4. The right of restriction. You have the right to request that we restrict the processing of your personal information.
  5. The right to data portability. You have the right to be provided with a copy of the information we have on you in a structured, machine-readable and commonly used format.
  6. The right to withdraw consent. You also have the right to withdraw your consent at any time where we relied on your consent to process your personal information.


To exercise any of the above rights, please contact us at In order to comply with such requests, we may require additional information from you in order to confirm your identity.

Should you wish to raise a concern about our use of your information (and without prejudice to any other rights you may have), you have the right to do so with your local supervisory authority; however, we hope that we can assist with any queries or concerns you may have about our use of your personal information first.

For more information, please contact your local data protection authority.


Legal Basis for Processing Personal Information Under GDPR

Our legal basis for collecting and using the personal information described in this Privacy Policy depends on the personal information we collect and the specific context in which we collect it.

We may process your personal information because:

  1. We need to perform a contract with you;
  2. You have given us permission to do so;
  3. The processing is in our legitimate interests and it is not overridden by your rights; or
  4. To comply with the law.



Under some U.S. state laws, including the California Consumer Privacy Act of 2018 (CCPA) and the California Privacy Rights Act CPRA), residents may have the following rights:


  • Right to Know: The right to request the personal information that we collect, use or disclose and information about our data practices;
  • Right to Request Deletion: The right to request that we delete the personal information we have collected about you;
  • Right to Opt-Out of Data Sales: The right to restrict the sale of your personal information we have collected to third parties;
  • Right to Non-Discrimination: The right to not be discriminated against for exercising any of these rights;
  • Right to Correct Information: The right to update or correct the personal information that we collect;
  • Right to Limit Use or Disclosure of Sensitive Personal Information: The right to limit the use and disclosure of Sensitive Personal Information (as defined under the CPRA);
  • Right to Access Information Related to Automated Decision Making: The right to inquire about our logic involved in automated decision-making applied to personal information we collect; and
  • Right to Opt-Out of Automated Decision-Making Technology: The right to request your removal from having automated decision-making applied to your personal information that we collect.


California’s Shine the Light Law.

California Civil Code Section 1798.83 permits California residents to request and obtain a list of what personal information (if any) that we disclosed to third parties for direct marketing purposes in the preceding calendar year and the names and addresses of those third parties. Requests may be made only once a year and are free of charge. Under Section 1798.83, California residents are entitled to request and obtain such information, by e-mailing a request to

To exercise your rights, please contact us at Note that these rights are not absolute, are subject to exceptions and limitations, and may not be afforded to residents of all states.

Only you or an authorized agent may make a request related to your personal information. Note that to respond to your requests, we must verify your identity and reserve the right to confirm your state residency.


Do not track

Please note that because there is no consistent industry understanding of how to respond to “Do Not Track” signals, we do not alter our data collection and usage practices when we detect such a signal from your browser.



We may update this Privacy Policy from time to time in order to reflect, for example, changes to our practices or for other operational, legal, or regulatory reasons.

We will notify you of any changes by posting the new Privacy Policy on this page. You are advised to review this Privacy Policy periodically for any changes. Changes to this Privacy Policy are effective when they are posted on this page.



For more information about our privacy practices, if you have questions, or if you would like to make a complaint, please contact us by e-mail at or by mail at 100 South Wacker Drive #850, Chicago, Illinois 60606.