Privacy Policy

The confidentiality of client information is an important concern of tZERO ATS, LLC (“tZERO ATS”). The Firm takes precautions to safeguard client personal information at all times, and will remain vigilant in protecting that information. The provisions of this privacy notice will apply to former clients as well as current clients.

tZERO ATS is a broker/dealer registered with the Securities and Exchange Commission (“SEC”) and is a member of the Financial Industry Regulatory Authority (“FINRA”) and the Securities Investor Protection Corporation (“SIPC”).

tZERO ATS’ clients consist solely of other broker-dealers.

tZERO ATS collects personal information about you that is either required or necessary to provide you with financial products or services. The Firm may obtain nonpublic personal or business information about you from the following sources.

  • Information voluntarily provided by you on applications and other forms, including your tax ID number, and specific information about your business;
  • Information about the transactions you execute through tZERO ATS and its affiliates;
  • Information we receive from reporting agencies or affiliates; and
  • Information related to your browsing or use of this website, including through the use of cookies.

tZERO ATS does not disclose any nonpublic personal or business information about its clients, except as permitted by law. tZERO ATS protects your information by limiting access to those employees and affiliates who need access for appropriate business purposes including to service your account, perform required reviews, and to market its services. tZERO ATS maintains physical, electronic and procedural safeguards that comply with the industry standards to safeguard your nonpublic personal information. Third parties who have access to such personal information must sign a confidentiality agreement agreeing to follow appropriate standards of security and confidentiality. Please be advised, however, that although tZERO ATS has endeavored to create a secure and reliable site for you, the confidentiality of any communication or material transmitted to or from this website or e-mail cannot be guaranteed. When disclosing any personal information, you should remain mindful of the fact that it is potentially accessible to the public and consequently, may be collected and used by others without your consent. tZERO ATS has no responsibility or liability for the security of information transmitted via the Internet.

tZERO ATS must obtain your consent before it can share nonpublic customer information with, or obtain certain information from its affiliates. Unless and until you notify tZERO ATS in writing to the contrary, you shall be deemed to have consented to the disclosure of nonpublic information between tZERO ATS and its affiliates, to the extent permitted by law.

Use the “Contact” button on this website for more information.

How We Use the Information We Collect

Information We Collect and How We Use It

You may choose to provide personal information on our website. Here are the ways you may provide the information and the types of information you may submit. We also tell you how we may use the information.

Contact Us

If you communicate with us through the “Contact Us” link, we may ask you for information such as your name, email address and telephone number so we can respond to your questions and comments. We also may use the information you provide to communicate with you about topics that we believe may be of interest to you.

Other Site Features

Our website offer various features, which we may change from time to time. We may ask you to submit certain personal information so we can provide you with and communicate with you about these features.

Other Uses of Information

We may use the personal information you provide on the website for our internal purposes. These purposes include administration of the site, market research, data analytics and compliance with our legal obligations, policies and procedures.

Personal Information We Collect by Automated Means

We collect certain information by automated means when you visit our website, such as how many users visit our website and the pages accessed. By collecting this information, we learn how to best tailor the website to our visitors. We collect this information through various means such as “cookies”, “web beacons” and IP addresses, as explained below.


Like many companies, some of our website may use “cookies.” Cookies are bits of text that are placed on your computer’s hard drive when you visit certain websites. We may use cookies to tell us, for example, whether you have visited us before or if you are a new visitor and to help us identify site features in which you may have the greatest interest. Cookies may enhance your online experience by saving your preferences while you are visiting a particular site.

Most browsers will tell you how to stop accepting new cookies, how to be notified when you receive a new cookie, and how to disable existing cookies. Please note, however, that without cookies you may not be able to take full advantage of all our site features.

Web Beacons

Certain pages on our websites may contain “web beacons” (also known as Internet tags, pixel tags and clear GIFs). These web beacons allow third parties to obtain information such as the IP address of the computer that downloaded the page on which the beacon appears, the URL of the page on which the beacon appears, the time the page containing the beacon was viewed, the type of browser used to view the page, and the information in cookies set by the third party.

IP Addresses

An IP address is a unique identifier that certain electronic devices use to identify and communicate with each other on the Internet. When you visit our website, we may view the IP address of the device you use to connect to the Internet. We use this information to determine the general physical location of the device and understand from what geographic regions our website visitors come. We also may use this information to enhance our website.


Our websites may use analytics to create statistical reports. These reports would tell us, for example, how many users visited our website, what pages have been browsed, and from what geographic regions users visited the website. The information collected through the use of analytics may include, for example, your IP address, the website from which you visited us, the type of device you used and your search query that led you to the Sites. Your IP address is masked on our systems and will only be used on a need-to-know basis to resolve technical issues, to administer our websites and to understand visitor preferences. Traffic information on our website is accessed only by authorized personnel. We do not use any of this information to identify visitors and we do not share it with third parties. Our website are not designed to respond to “do not track” signals received from browsers.

Information We Share

We do not sell, rent, trade or otherwise disclose personal information visitors submit through our website, except as described in this Privacy Notice. We may share your information among tZERO ATS affiliates. We also may share the information with service providers we have retained to perform services on our behalf (for example, to process online registration forms for events or to administer our blogs). These service providers are not authorized by us to use or disclose the information except as necessary to perform services on our behalf or to comply with legal requirements. In addition, we may disclose information about you (i) if we are required to do so by law or pursuant to legal process, (ii) in response to a request from law enforcement authorities or other government officials, or (iii) when we believe disclosure is necessary or appropriate to prevent physical harm or financial loss or in connection with an investigation of suspected or actual illegal activity.

We reserve the right to transfer any information we have about you in the event we sell or transfer all or a portion of our business or assets. Should such a sale or transfer occur, we will use reasonable efforts to try to require that the transferee use personal information you have provided through this website in a manner that is consistent with this Privacy Notice.

Links to Other Sites

Occasionally we provide links to other websites for your convenience and information. These websites operate independently from our website and are not under our control. These sites may have their own privacy notices or terms of use, which we strongly suggest you review if you visit any linked websites. We are not responsible for the content of these sites, any products or services that may be offered through these sites, or any other use of the linked sites.

How We Protect Personal Information

We maintain administrative, technical and physical safeguards for the website designed to protect against loss, misuse or unauthorized access, disclosure, alteration or destruction of the personal information we collect through our website.

Information We Transfer

We may transfer the personal information we collect through the website to other countries where we do business, which may not have the same data protection laws as the country in which you reside. We have taken steps to provide an adequate level of protection in accordance with European data protection law in cases of transfers from Europe to third countries.

Access and Correction

To the extent required by law, we provide users with (i) reasonable access to the personal information they provide through the website, and (ii) the ability to review, correct and delete such personal information. To help protect your privacy, we take reasonable steps to verify your identity before granting access to your information.

Updates to Our Privacy Notice

We may update or change this Privacy Notice from time to time and without prior notice to you. We will post a prominent notice on this web page to notify you of any significant changes to our Privacy Notice and indicate at the top of the notice when it was most recently updated.