Privacy Policy
We may use your personal information: (1) to provide to you and communicate with you about financial services, including investment advisory services and products (“Services”), content, features, or products you use or request; (2) to customize and optimize the content or advertisements you receive when you use the Services (and otherwise enhance or improve your experience); (3) to analyze and improve our Services, which may include traffic, usage, and navigation patterns related to your activities and the links we provide to third party websites or advertisements; (4) to secure your account and help to prevent fraud; (5) for compliance and safeguarding purposes, including to safeguard our or third party rights or interests; (6) to advertise to you or send you commercial or marketing messages including, without limitation, newsletters, and email communications about our Services or offerings of our partners; (7) in any other way we may describe when you provide such personal information; and (8) for any other purpose that we believe in good faith is necessary to help ensure the security or proper functioning of our Services.
We may also aggregate your information with information about other users, and de-identify your information by removing characteristics (such as your name or email address) that make the information identifiable to you. We may use such information for our lawful business purposes.
OUR PRIVACY POLICY
In providing the Services, we collect certain non-public information. Our policy is designed to help keep this information confidential and safeguarded, and to use or disclose it only as set forth herein or as permitted by law. Safeguarding your privacy is important to us.
INFORMATION WE COLLECT
The non-public personally identifiable information (“PII”) we have about clients includes the information they give us when opening an account or communicating with us. This could include:
- Name and address
- Social Security Number
- Investment objectives and experience
- Financial circumstances
- Employment history
- Account balances and transactions
HOW WE SHARE YOUR PERSONAL INFORMATION
We do not sell personal client information to anyone.
Affiliates. We may share personal information about you with our affiliated companies for everyday business purposes; however, our affiliated companies are not permitted to use this information to market their products or services to you.
Non-Affiliates. We do not disclose personal information about our clients to non-affiliated third parties, without expressed written consent. We are permitted to disclose client information that is reasonably anonymized (rather than linked to an individual client), but only to companies that we hire to help us provide products and services to our clients, or as required by law, or as authorized by the client personally, or as otherwise described in this Privacy Policy.
Service Providers. Companies and individuals that provide services on our behalf or help us operate our services and business (such as IT, hosting, investment trading, customer relationship management and support, print and mail fulfillment, data management, email delivery, etc.) will have access to certain PII.
Service-Related Third Parties. Brokers, custodians, administrators, transfer agents, investment funds and their respective managed and other non-affiliated third parties will have access to certain PII as necessary to provide our services to you.
HOW INFORMATION IS USED
We use your personal information for the following purposes:
Service Delivery. We use your personal information to: provide, operate, and improve the Service; execute your transactions; provide support for the service; and respond to your inquiries, questions and feedback.
Compliance and Operations. We may use your personal information to: comply with applicable laws, lawful requests, and legal processes, such as to respond to subpoenas or requests from government authorities; keep our, your or others’ rights, privacy, safety or property (including by making and defending legal claims); audit our internal processes for compliance with legal and contractual requirements and internal policies; and to help prevent, identify, investigate and deter fraudulent, harmful, unauthorized, unethical or illegal activity, including cyberattacks and identity theft.
HOW INFORMATION IS SAFEGUARDED
We have procedures in place that we believe are reasonably designed to help safeguard the security and confidentiality of client information. These include confidentiality agreements with companies we hire to help us provide services to clients, password-protected user access to our computer files, and strict confidentiality policies that apply to all Firm personnel, vendors and contractors. While we take steps to help protect your information, please be aware that no method of transmission over the internet is completely secure. We encourage you to use discretion when sharing information, and once we receive your transmission, we will take reasonable measures to help protect it within our systems. Please be aware that this Privacy Policy may change from time to time.
YOUR DATA CHOICES
You have the following choices with respect to your personal information:
Decline to provide information. We need to collect personal information to provide certain services. If you do not provide the information requested, we may not be able to provide those services.
Opt out of digital marketing communications. You may opt out of marketing-related digital communications by following the opt-out or unsubscribe instructions contained in the digital marketing communications we may send you.
Correct your information. You may request to review, update, or correct inaccuracies in the personal information we maintain about you by contacting us using the information provided below. We will make reasonable efforts to respond to your request in a timely manner, and we may need to verify your identity before processing any changes. Please note that certain records may be retained as required by applicable law, regulation, or for legitimate business and compliance purposes, even after corrections are made.
How to contact us. You can reach us in the following ways:
- Phone: 502-690-3434