Tag Archives: Financial Representatives

Protecting Customer Data and Your Computers (Part 1)

Savvy financial adviosors know that “bad things can happen” on the internet. As a trusted professional, you must take steps to safeguard your computers and your customer data [particularly their Non- Public Personal Information (“NPPI”)] from unauthorized access and potential loss. The SEC has mandated that for Registered Representatives and Registered Investment Advisors, establishing unique user accounts, using complex password protection and maintaining appropriate anti-virus software are all required computer protection procedures. Additionally, you must also maintain a “firewall” on all internet-connected computers. Simply put, without a firewall, your computers sit “naked” on the internet and are exposed to any potential threats.

Who is Centaurus Financial?

Centaurus Financial (CFI) is a full-service independent broker dealer with a national presence licensed to offer insurance products and securities, such as stocks, bonds, mutual funds, separately managed accounts, annuities, alternative investments and wealth management services to the investing public. Centaurus is registered with the Securities & Exchange Commission and is a member of both FINRA (Financial Industry Regulatory Authority) and SIPC (the Securities Investor Protection Corporation).

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