Customer Privacy Pursuant Regulation S-P

At Tribal Capital Markets. LLC, we recognize the importance of protecting your privacy and we have policies in place to maintain the confidentiality and security of your personal information. The following policy is designed to help you understand what information we collect from you and how we use that information to serve your account.


We restrict access to non-public, personal information about you, to those employees and agents who need to know that information in order to provide products and services to you. We maintain physical, electronic, and procedural safeguards to protect your non-public, personal information.

We do not disclose any non-public, personal information about customers or former customers to anyone except as permitted by law.

We collect non-public, personal information about you from the following sources:

  1. Information that we receive from you on applications, account documents or other forms

  2. Information about your transactions with our affiliates or with us


Please be aware that you have the right to maintain the privacy of your non-public, personal information. Should our policy change, we will notify you and at that time, you may notify us, in writing, if you wish that your information not be used for any other purpose than maintaining your account with our Firm. Please direct any questions on this matter to the attention of Patrick Harris, Chief Compliance Officer, at