Last Updated: August 19, 2025
Moody National (“we,” “our,” or “us”) is committed to protecting your privacy and maintaining the confidentiality, integrity, and security of your personal information. This Privacy Policy explains how we collect, use, share, and safeguard your information in accordance with applicable federal and state privacy laws, including the Gramm-Leach-Bliley Act (GLBA), SEC Regulation S-P, and FINRA requirements.
Information We Collect
In the course of providing financial services, we may collect the following types of information (“Nonpublic Personal Information” or “NPI”):
- Personal Identifiers: Name, address, date of birth, email address, phone number.
- Financial Information: Income, assets, investment experience, account balances, and transaction history.
- Regulatory Information: Social Security number, tax identification number, government-issued ID.
- Online Activity: Information from your use of our website or client portal (IP address, device data, login activity).
We obtain this information when you open an account with us, communicate with us, use our services, or interact electronically with our website or client platforms.
How We Use Your Information
We use your information only to the extent permitted by law, including for:
- Opening and maintaining your financial accounts.
- Executing transactions and providing investment services.
- Providing confirmations, statements, and other important account information.
- Meeting our legal, compliance, and regulatory obligations under FINRA, the SEC, and other authorities.
- Protecting against fraud, unauthorized transactions, and other risks.
- Improving our services and client communications.
Disclosure of Information
We do not sell your personal information.
We may share your information only as permitted or required by law, including with:
- Regulators & Supervisory Authorities: FINRA, SEC, state securities regulators, or other authorities as required.
- Service Providers: Vendors performing services on our behalf (such as custodians, clearing firms, technology providers, auditors, or compliance consultants).
- Legal or Regulatory Requests: If required by law, court order, or to protect our rights.
- Affiliates: For operational purposes, in accordance with GLBA standards and applicable opt-out options.
Any third parties are required by law and contract to protect your information and use it only for the purposes specified.
Safeguarding Your Information
We maintain strict physical, electronic, and procedural safeguards that comply with federal standards to protect your personal information. Security measures include:
- Encryption of data transmissions and stored records.
- Role-based access controls limiting data access to authorized personnel.
- Regular cybersecurity testing, monitoring, and vendor due diligence.
- Ongoing employee training on privacy and data security obligations.
Your Privacy Rights
Depending on your residency and applicable law, you may have the right to:
- Request access to or a copy of the personal information we maintain about you.
- Request corrections if your information is inaccurate.
- Opt out of certain types of information sharing with affiliates or third parties, where allowed by law.
To exercise your rights, please contact us at:
info@moodynational.com
Retention of Information
We retain your personal information only as long as necessary to provide services, comply with legal or regulatory requirements, and safeguard our business interests.
Changes to This Policy
We may update this Privacy Policy from time to time to reflect changes in our practices, technology, or regulatory requirements. You will be notified of material updates as required by law.
Contact Us
If you have any questions regarding this Privacy Policy or how your information is handled, please contact us:
Moody National
Compliance & Privacy Department
info@moodynational.com