Privacy Policy

R.J. O’Brien & Associates, LLC’s Privacy Policy
R.J. O’Brien & Associates, LLC, and its affiliates (collectively, “R.J. O’Brien”, “RJO”or “we” or “us”) believe
in respecting the privacy and security of your personal information. The following Privacy Policy explains how
R.J. O’Brien collects, uses, shares, and protects your personal information. Please read this Privacy Policy
carefully. This Privacy Policy is provided to you on behalf of RJO and addresses RJO’s data collection, use
and disclosure practices.
If your account was introduced to RJO by an independent introducing broker, agent or another Futures
Commission Merchant, this privacy policy applies only to how your personal information is handled and
protected by RJO, not how it is handled and protected by your independent introducing broker, agent or
Futures Commission Merchant.
We do not disclose any nonpublic personal information about our clients, or former clients, to anyone except
as permitted by law.
Please note that other more specific policies may be applicable to you depending on where you are
located.
For EU or UK data subjects, please click here to see our EU or UK data privacy policy.
https://www.rjobrien.com/US-UK-Privacy-Policy.pdf
For California residents, please click here to see our California Privacy Notice.
https://www.rjobrien.com/California-Privacy-Policy.pdf
Collection of Personal Information
We collect your personally identifiable information or corporate identifiable information (in the event your account
is held on behalf of a corporate entity) (“PII”) and other information directly from you and automatically or
indirectly from you as a result of your relationship with us or use of and access to our services, including
but not limited to:
• through your broker or agent;
• from third parties who provide consumer information or verify consumer relationship;
• from consumer or credit reporting services, regulatory information providers, or other similar entities;
• information regarding your usage, experience and engagement with certain software applications provided to you
by us; and
• information obtained through information collective devices from a web server.
PII includes any information by which you can be personally identified and may include your name, address,
age, date of birth, electronic mail address, occupation, employment information, telephone number,
education, the kind of service provided to you, credit card number, and other similar information.
We may use the PII collected from you to verify your identity and establish and maintain your account,
among other reasons. This information also helps us improve our services to you, customize your browsing
experience, and inform you about additional products, services, or promotions that may be of interest to
you.
You directly provide us with the majority of PII we collect. We may also collect additional PII as required by
law which includes information required to assess your experience and risk tolerance. Depending on our
relationship, you provide us with this information by submitting an inquiry form, completing an account
application and related documentation, by sending us an e-mail, or by submitting information in response
to an inquiry.
The information we collect indirectly from you includes information gathered through your interactions with
our website. This information may include, Internet protocol (“IP”) address, browser type, operating system,
Internet service provider (“ISP”), and time stamps.
We, and our third-party service providers, use cookies to provide us with data we can use to improve your
experience and to remember information that you have provided or choices you have made on the website,
such as saving your logged-in status or site preferences. Cookies are small text files sent from Web servers
that may be stored on your device. Cookies enable us to capture how you arrived at our site, when you
return, which pages on our site you visit, and to recognize that you are already logged on when we receive
a page request from your browser. We may link the information we store in Cookies to personally identifiable
information you submit while on our site. Cookies do not contain account or password information.
Use and Disclosure of Your Information
We may use and/or share your information, including PII, for the following reasons:
▪ To contact you in response to your inquiries, comments, and suggestions;
▪ To contact you otherwise when necessary;
▪ For the specific purpose for which it was voluntarily provided;
▪ To complete any transactions you may perform with or through us;
▪ To be provided to R.J. O’Brien’s third parties in connection with the legitimate business purposes
of R.J. O’Brien or the website;
▪ To third parties, including service providers, affiliates, and other outside organizations, that assist
us with preparing and processing orders and statements;
▪ As required or permitted by law or regulation, or as requested by government authorities, or for
the protection of persons or property; and
▪ In connection with an acquisition, merger, restructuring, sale, or other transfer involving all or any
portion of the business.
Confidentiality and Security
We restrict access to your PII to those employees or service providers who need to know that information
in order to provide products or services to you. We maintain physical, electronic and procedural safeguards
to guard your PII. However, due to the design of the internet, we cannot guarantee that communications
between you and our servers will be free from unauthorized access by third parties. Furthermore, your
individual broker or agent may be provided your PII.
Accessing, Modifying, and Correcting Personal Information
We strive to maintain the accuracy of any personal information collected from you. However, we must rely
upon you to ensure that the information you provide to us is complete, accurate, and up-to-date, and to
inform us of any changes. Please review all your information carefully before submitting it to us and notify
us as soon as possible of any updates or corrections.
USA Patriot Act: Notice to Clients
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 open an account, we will ask for your name, address, date of birth,
and other information that will allow us to identify you.
Changes to this Privacy Policy
We reserve the right, at any time, to modify, alter, and/or update this Privacy Policy, and any such
modifications, alterations, or updates will be effective upon our posting of the revised Privacy Policy. We
will use reasonable efforts to notify you in the event material changes are made to this Privacy Policy, such
as by posting a notice on RJO-provided electronic platforms or websites. Your continued use of the RJO’s
services following our posting of any revised Privacy Policy will constitute your acknowledgement of the
amended Privacy Policy.
For avoidance of doubt, please note that this Privacy Policy relates to your personal data or PII, i.e., data
about you, as an individual, from which you can be identified. This Privacy Policy does not apply to any data
insofar as it is held, processed, disclosed or published in a form which cannot be linked to you (such as
anonymized or aggregated data which cannot directly or indirectly be used to identify you or to obtain
information about you (“Aggregate Data”)). RJO may generate or extract Aggregate Data out of any
databases, and we may make use of such Aggregate Data for any purpose, at our discretion.
Contact Information
You may contact RJO Group if you have any questions regarding this Privacy Policy at:
Email: Legal@rjobrien.com
Postal Address:
R.J. O’Brien & Associates, LLC
Attn: Legal Department
222 S. Riverside Plaza
Suite 1200
Chicago, IL 60606
222 South Riverside Plaza Suite 1200 Chicago, IL 60606 | o (312) 373-5000 w rjobrien.com