Imperii Securities LLC

Privacy Notice


This privacy notice is being sent on behalf of Imperii Securities LLC and its registered representatives (collectively called Imperii Securities LLC.)

We recognize our obligation to keep information about you secure and confidential.  It’s important for you to know that we do not sell your information to anyone.  We restrict access to non-public personal information about you to those representatives and employees who need to know that information to provide products or services to you. We also maintain physical, electronic, and procedural safeguards to guard your non-public personal information. This notice describes how we handle your financial information that we collect while conducting our business.

We collect information about you (such as your entity formation documents) from our discussions with you, and from documents that you may deliver to us in the course of providing services to you.  We may use this information when engaging our firm for services. In providing services to you, we may provide this information to firms that assist us in providing services and have a need for such information, as permitted by law.  We may also disclose such information to FINRA, the Securities & Exchange Commission, or state of California, the regulatory agencies that oversee our activities.

State Laws: Certain individual states also have enacted privacy laws and regulations to protect their citizens.  Our privacy practices comply with all applicable laws.  If a state’s privacy laws are more restrictive than those stated in this notice, we will comply with those laws.

Privacy Notice for California Residents: The California Consumer Privacy Act Notice supplements the information stated above and applies to residents of California.  The Notice covers the information and our activities subject to the California Consumer Privacy Act, as amended by the California Privacy Rights Act (collectively, “CCPA”).  Details of the Act may be found at California Consumer Privacy Act (CCPA) | State of California – Department of Justice – Office of the Attorney General.

If you prefer that we not disclose non-public, personal information about you to non-affiliated third parties, (other than those disclosures permitted by law) you may opt out of those disclosures that is, you may direct us not to make those disclosures.  If you wish to opt out of disclosures to non affiliated third parties, you may contact us at 415-505-1027.

Anti Money Laundering Procedures: 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 engage our firm, we will ask for information that will allow us to identify your company.

Preparedness/Business Continuity Plan

Imperii Securities 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 is 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.

Contacting Us – If after a significant business disruption, you cannot contact us as you usually do you should call our alternative number:  415-505-1027.

Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.