PRIVACY POLICY

GRAMM-LEACH-BLILEY ACT

PRIVACY COMPLIANCE NOTICE

 

INTRODUCTION

     The Gramm-Leach-Bliley Act was designed to protect consumers’ privacy, specifically as it relates to “non-public information.” We take great care to properly handle information gathered while providing services to you.

WHY WE COLLECT THIS INFORMATION

     We request confidential financial information because state and federal laws require us to do so and it enables us to tailor investment recommendations specifically to your needs. We use this information to provide advisory services to you, to open an account for you, or to process a transaction for your account. We provide your non-public personal information to our affiliates and to unaffiliated firms to effect or process transactions for you or to assist us in servicing your account. We never share non-public personal information with anyone as a matter of policy.

WHAT INFORMATION WE COLLLECT

     We collect the following types of information about you:

  • Identity information such as your name, address, driver’s license number, social security number and employment data.
  • Financial information such as assets, liabilities, income and investment objectives.
  • Information from third parties such as market value data about accounts and similar information.
  • Information about transactions and investment experience.

CONFIDENTIALITY

     The non-public personal information that is obtained is safeguarded in accordance with our internal policies and procedures. These policies permit only those employees who need to know the information in order to perform their duties to have access to clients’ non-public personal information. We maintain physical, electronic and procedural safeguards to comply with federal standards to guard client’s non-public personal information. We limit the collection and use of your information to the minimum we require to administer our business and to deliver superior service to you.

We strive to keep our records accurate and will make appropriate corrections when you notify us. Please let us know if there is incorrect information in any statements or other communications that you receive from us.