Privacy Policy
Information Adviser Collects. In connection with providing client with investment products, financial advice, or other services, Adviser could obtain non-public personal information about client including:
- Information Adviser receives from Client on applications
- Information about Client transactions with Adviser or others
- Information from credit or service bureaus or third parties
Information Adviser Discloses. Adviser will not disclose information regarding Client or Client’s Account with Adviser except under the following circumstances:
- To Client’s representative as designated by client
- To establish or maintain an account with an unaffiliated third party, such as a clearing broker providing services to Client
- To government entities or other third parties in response to subpoenas or other legal process as required by law
Adviser’s Security Policy. Only those individuals who need it to perform their jobs are authorized to have access to confidential Client information. Adviser maintains physical, electronic, and procedural security measures that comply with applicable state and federal regulations to safeguard confidential Client information.
Closed or Inactive Accounts. If Client decides to close account(s) or become an inactive customer, Adviser will adhere indefinitely to the privacy policies and practices as described in this notice.
Changes to this Privacy Policy. If Adviser makes any substantial changes in the way Adviser uses or disseminates confidential information, Adviser will notify Client.
If Client has any questions concerning this privacy policy, please contact Adviser.