We are committed to keeping the personal information collected from our
potential, current, and former customers confidential and secure. The proper
handling of personal information is one of our highest priorities. We want
to be sure that you know why we need to collect personal information from
you. We also want to explain to you our commitment to protect the information
that you provide to us.
We only collect information that is necessary for us to provide services
requested by you and to administer your business with us. We may collect
nonpublic personal information:
From you when you complete our fact finders in our application when you
inquire about our investment advisory services. This typically includes your name, address, social security number, marital status, assets, and income.
As a result of transactions with us, with our product or services providers,
or others. This typically includes account numbers, account balances, parties
to transactions, and transactions completed with us.
We only share your nonpublic personal information with individuals as permitted
by law. In the normal course of our business, we may disclose information
we collect about you to companies or individuals that contract with us to
perform servicing functions such as:
Preparation of statements
Distribution of materials
Administrative services related to securities
and advisory transactions
When we provide personal information to a service provider, we require
those providers to contractually agree to safeguard your information, to use the information
only for the intended purpose, and to abide by applicable law.
Access to Information
Only individuals with a valid business reason have access to your personal
information. These individuals are educated on the importance of maintaining
the confidentiality and security of this information.
Protection of Information
We maintain security standards to protect your personal information, whether
written, spoken, or electronic. We update our systems to ensure the protections
and integrity of information.
We recognize and respect the privacy concerns of our potential, current,
and former customers. We are committed to safeguarding your personal information.
As a member of the financial services industry, we are displaying this Notice
it as required by law. It is also available upon request.
- Phone at (800) 711-7969; or