Privacy Notice for California Residents

Privacy Notice for California Residents

Date of last update or revision: 12/18/2022

This Privacy Notice for California Residents (“Privacy Notice”)supplements the information contained in the Privacy Policy (“Privacy Policy”) of Harris Williams LLC and its subsidiaries (collectively, “Harris Williams,” “we,” “us,” or “our”) and applies solely to residents of the State of California, which may include visitors and users of Harris Williams’ website located at www.harriswilliams.com as well as others who provide personal information to us online or otherwise (“consumers” or “you”). We adopt this notice to comply with the California Consumer Privacy Act of 2018 (“CCPA”) and other California privacy laws. Any terms defined in the CCPA have the same meaning when used in this Privacy Notice.

INFORMATION WE COLLECT

Harris Williams collects information that identifies, relates to, describes, references, is reasonably capable of being associated with, or could reasonably be linked, directly or indirectly, with a particular consumer or device (“personal information”). In particular, we have collected the following categories of personal information from consumers within the last twelve (12) months (although we may not collect all listed information in any given category):

Category

Examples

Collected

A. Identifiers.

A real name, alias, postal address, unique personal identifier, online identifier, Internet Protocol address, email address, account name, Social Security number, driver's license number, passport number, or other similar identifiers.

YES

B. Personal information categories listed in the California Customer Records statute (Cal. Civ. Code § 1798.80(e)).

A name, signature, Social Security number, physical characteristics or description, address, telephone number, passport number, driver's license or state identification card number, insurance policy number, education, employment, employment history, bank account number, credit card number, debit card number, or any other financial information, medical information, or health insurance information.

Some personal information included in this category may overlap with other categories.

YES

C. Protected classification characteristics under California or federal law.

Age (40 years or older), race, color, ancestry, national origin, citizenship, religion or creed, marital status, medical condition, physical or mental disability, sex (including gender, gender identity, gender expression, pregnancy or childbirth and related medical conditions), sexual orientation, veteran or military status, genetic information (including familial genetic information).

YES

D. Commercial information.

Records of personal property, products or services purchased, obtained, or considered, or other purchasing or consuming histories or tendencies.

NO

E. Biometric information.

Genetic, physiological, behavioral, and biological characteristics, or activity patterns used to extract a template or other identifier or identifying information, such as, fingerprints, faceprints, and voiceprints, iris or retina scans, keystroke, gait, or other physical patterns, and sleep, health, or exercise data.

YES

F. Internet or other similar network activity.

Browsing history, search history, information on a consumer's interaction with a website, application, or advertisement.

YES

G. Geolocation data.

Physical location or movements.

NO

H. Sensory data.

Audio, electronic, visual, thermal, olfactory, or similar information.

NO

I. Professional or employment-related information.

Current or past job history or performance evaluations.

YES

J. Non-public education information (per the Family Educational Rights and Privacy Act (20 U.S.C. Section 1232g, 34 C.F.R. Part 99)).

Education records directly related to a student maintained by an educational institution or party acting on its behalf, such as grades, transcripts, class lists, student schedules, student identification codes, student financial information, or student disciplinary records.

YES

K. Inferences drawn from other personal information.

Profile reflecting a person's preferences, characteristics, psychological trends, predispositions, behavior, attitudes, intelligence, abilities, and aptitudes.

YES

Personal information does not include:

  • Publicly available information from federal, state or government records.

  • De-identified or aggregated consumer information.

  • Information excluded from scope of the CCPA's, like:

    • health or medical information covered by the Health Insurance Portability and Accountability Act of 1996 (HIPAA) and the California Confidentiality of Medical Information Act (CMIA) or clinical trial data;

    • personal information covered by certain sector-specific privacy laws, including the Fair Credit Reporting Act (FRCA), the Gramm-Leach-Bliley Act (GLBA) or California Financial Information Privacy Act (FIPA), and the Driver's Privacy Protection Act of 1994.

COLLECTION OF PERSONAL INFORMATION

We obtain the categories of personal information listed above from the following categories of sources:

  • Directly from you or your agents (for example, from agreements, event registration applications, business cards, or other documents that our existing and prospective clients provide to us related to the services for which they engage us).

  • Indirectly from you or your agents (for example, through information we collect from our clients in the course of providing services to them).

  • Directly and indirectly from activity on our website, www.harriswilliams.com (the “Website”) (for example, from submissions through contact options on our website or website usage details collected automatically).

  • From third-parties that interact with us in connection with the services we perform. For example, from government agencies when we conduct reviews of creditworthiness or verification of information provided by our clients).

USE OF PERSONAL INFORMATION

We may use or disclose, the personal information we have collected or will collect for one or more of the following business purposes:

  • To fulfill or meet the reason you provided the information. For example, if you share your name and contact information to request that you receive a copy of our newsletter or ask a question about our products or services, we will use that personal information to respond to your inquiry.

  • To provide, support, personalize, and develop our Website, products, and services, including without limitation to enable us to aggregate Website user profiles, monitor Website use, and to improve the Website user’s experience.

  • To help maintain the safety, security, and integrity of our Website, products and services, databases and other technology assets, and business.

  • For testing, research, analysis, and development of our offerings, including to develop and improve our Website, products, and services.

  • To respond to law enforcement requests and as required by applicable law, court order, or governmental regulations.

  • As described to you when collecting your personal information or as otherwise set forth in the CCPA.

  • To administer, monitor, understand e-Newsletter performance and use, and to improve the user experience.

  • To execute events and other programs, which you have opted into, or not opted out of.

  • To execute digital advertising campaigns which you have opted into, or not opted out of.

  • To evaluate or conduct a merger, divestiture, restructuring, reorganization, dissolution, or other sale or transfer of some or all of Harris William's assets, whether as a going concern or as part of bankruptcy, liquidation, or similar proceeding, in which personal information held by Harris Williams about our Website users is among the assets transferred.

Harris Williams will not collect additional categories of personal information or use the personal information we collected for materially different, unrelated, or incompatible purposes without providing you notice.

Any promotional correspondence to you will provide you with the ability to opt-out of receiving future promotional material from us and you may contact us at any time to tell us that you do not want to receive marketing information from us by emailing us at the email address below.

SHARING PERSONAL INFORMATION

Harris Williams may disclose your personal information to a third party for a business purpose. When we disclose personal information for a business purpose, we enter a contract that describes the purpose and requires the recipient to both keep that personal information confidential and not use it for any purpose except performing the contract.

We disclose your personal information for a business purpose with the following categories of third parties:

  • Service providers (for example, we may share your personal information with vendors we have hired to provide services for us where it is necessary for the services we provide to you).

  • Affiliates of Harris Williams (for example, we may provide your personal information to our affiliates, including without limitation The PNC Financial Services Group, Inc. to the extent permitted by applicable law).

  • Third parties to whom you authorize us, directly or indirectly, to disclose your personal information in connection with the services we provide to you.

We may also release personal information about you if you direct us to do so, or if we are required or authorized by law, or if we reasonably believe that the disclosure is necessary in order to (a) fulfill a government request; (b) conform with the requirements of law or to comply with legal process served on us; or (c) protect or defend our legal rights or property or third party licensors of any material on the Website.

DISCLOSURES OF PERSONAL INFORMATION FOR A BUSINESS PURPOSE

In the preceding twelve (12) months, Harris Williams has disclosed the following categories of personal information for a business purpose:

Category A: Identifiers.

Category B: California Customer Records personal information categories.

Category C: Protected classification characteristics under California or federal law.]

Category E: Biometric information.

Category F: Internet or other similar network activity.

Category I: Professional or employment-related information.

Category J: Non-public education information.

Category K: Inferences drawn from other personal information.

SALES OF PERSONAL INFORMATION

In the preceding twelve (12) months, Harris Williams has not sold personal information:

Your Rights and Choices under the CCPA

The CCPA provides consumers (California residents) with specific rights regarding their personal information. This section describes your CCPA rights and explains how to exercise those rights.

Access to Specific Information and Data Portability Rights

You have the right to request that Harris Williams disclose certain information to you about our collection and use of your personal information over the past 12 months. Once we receive and confirm your verifiable consumer request and confirm the CCPA applies to such request (see Exercising Access, Data Portability, and Deletion Rights), we will disclose to you:

  • The categories of personal information we collected about you.

  • The categories of sources for the personal information we collected about you.

  • Our business or commercial purpose for collecting or selling that personal information.

  • The categories of third parties with whom we share that personal information.

  • The specific pieces of personal information we collected about you (also called a data portability request).

  • If we sold your personal information for a business purpose, we will provide the categories of third parties to whom your personal information has been sold and the specific categories of personal information sold to each category of third party (as applicable).

You also have the right to request us to transfer your personal information that we have to another organization to the extent technically feasible, in a structured, commonly used, machine-readable format.

Information Correction Rights

You also have the right to request us to correct any mistakes in your personal information.

Deletion Request Rights

You have the right to request that Harris Williams delete (and request any third party to which we have shared or sold your information delete) any of your personal information that we collected from you and retained, subject to certain exceptions. Once we receive and confirm your verifiable consumer request (see Exercising Access, Data Portability, and Deletion Rights), we will delete (and direct our service providers to delete) your personal information from our records, unless an exception applies.

We may deny your deletion request if retaining the information is necessary for us or our service provider(s) to:

  • Complete the transaction for which we collected the personal information, provide a good or service that you requested, take actions reasonably anticipated within the context of our ongoing business relationship with you, or otherwise perform our contract with you.

  • Detect security incidents, protect against malicious, deceptive, fraudulent, or illegal activity, or prosecute those responsible for such activities.

  • Comply with the California Electronic Communications Privacy Act (Cal. Penal Code § 1546 et. seq.).

  • Engage in public or peer-reviewed scientific, historical, or statistical research in the public interest that adheres to all other applicable ethics and privacy laws, when the information's deletion may likely render impossible or seriously impair the research's achievement, if you previously provided informed consent.

  • Enable solely internal uses that are reasonably aligned with consumer expectations based on your relationship with us.

  • Comply with a legal obligation.

  • Make other internal and lawful uses of that information that are compatible with the context in which you provided it.

Exercising Access, Correction, Data Portability, and Deletion Rights

To exercise the access, correction, data portability, and deletion rights described above, please submit a verifiable consumer request to us by either:

Calling us at 800-201-0354

Visiting: https://www.harriswilliams.com/contact-us

Emailing us: dataprivacy@harriswiliams.com

Only you, or a person registered with the California Secretary of State that you authorize to act on your behalf, may make a verifiable consumer request related to your personal information. You may also make a verifiable consumer request on behalf of your minor child.

You may only make a verifiable consumer request for access or data portability twice within a 12-month period. The verifiable consumer request must:

  • Provide sufficient information that allows us to reasonably verify you are the person about whom we collected personal information or an authorized representative.

  • Describe your request with sufficient detail that allows us to properly understand, evaluate, and respond to it.

  • To verify that you are a consumer subject to the CCPA, we will first attempt to use the personal information you have already provided to us. If such information is insufficient, we may ask you for additional personal information from you for the purposes of such verification (which may include requesting from you a signed declaration under penalty of perjury), although we will attempt to avoid collecting additional personal information from you. If we collect additional personal information for purposes of verification, we shall use such information only for such verification and for security or fraud-prevention purposes.

We cannot respond to your request or provide you with personal information if we cannot verify your identity or authority to make the request and confirm the personal information relates to you. Making a verifiable consumer request does not require you to create an account with us.

We will only use personal information provided in a verifiable consumer request to verify the requestor's identity or authority to make the request.

For instructions on exercising sale opt-out rights, see Personal Information Sales or Sharing Opt-Out and Opt-In Rights.

Response Timing and Format

We endeavor to respond to a verifiable consumer request within forty-five (45) days of its receipt. If we require more time (up to 90 days), we will inform you of the reason and extension period in writing.

We will deliver our written response by mail or electronically, at your option.

Any disclosures we provide will only cover the 12-month period preceding the verifiable consumer request's receipt. The response we provide will also explain the reasons we cannot comply with a request, if applicable. For data portability requests, we will select a format to provide your personal information that is readily useable and should allow you to transmit the information from one entity to another entity without hindrance.

We do not charge a fee to process or respond to your verifiable consumer request unless it is excessive, repetitive, or manifestly unfounded. If we determine that the request warrants a fee, we will tell you why we made that decision and provide you with a cost estimate before completing your request.

Personal Information Sales or Sharing Opt-Out and Opt-In Rights

If you are 16 years of age or older, you have the right to direct us to not sell your personal information at any time (the “right to opt-out”). We do not sell the personal information of consumers we actually know are less than 16 years of age, unless we receive affirmative authorization (the “right to opt-in”) from either the consumer who is between 13 and 16 years of age, or the parent or guardian of a consumer less than 13 years of age. Consumers who opt-in to personal information sales may opt-out of future sales at any time.

To exercise the right to opt-out, you (or your authorized representative) may submit a request to us by contacting us using the contact information provided below in the “Contact Us” section.

Once you make an opt-out request, we will wait at least twelve (12) months before asking you to reauthorize personal information sales. However, you may change your mind and opt back in to personal information sales at any time by contacting us using the contact information provided below.

You do not need to create an account with us to exercise your opt-out rights. We will only use personal information provided in an opt-out request to review and comply with the request.

NON-DISCRIMINATION

We will not discriminate against you for exercising any of your CCPA rights. Unless permitted by the CCPA, we will not:

  • Deny you goods or services.

  • Charge you different prices or rates for goods or services, including through granting discounts or other benefits, or imposing penalties.

  • Provide you a different level or quality of goods or services.

  • Suggest that you may receive a different price or rate for goods or services or a different level or quality of goods or services.

CHANGES TO THE PRIVACY NOTICE

Harris Williams reserves the right to amend this Privacy Notice at our discretion and at any time. When we make changes to this Privacy Notice, we will post the updated notice on the Website and update the notice's effective date. We encourage you to refer to this Privacy Notice on an ongoing basis so that you understand our current Privacy Policy. Your continued use of our Website following the posting of changes constitutes your acceptance of such changes.

Contact Us

Should you feel that your privacy or security is being compromised, wish to make a request for access to any personal data or personal information we may hold about you or wish to exercise one of your rights under California or other applicable law, or have any questions about this Privacy Notice, please contact us at:

Toll Free: 800-201-0354

Website: https://www.harriswilliams.com/contact-us

Email: data.privacy@harriswilliams.com

Postal Address:

Harris Williams,
Attn: Eric Field, Compliance Director
1001 Haxall Point, 9th Floor
Richmond, Virginia 23219