Information We Collect
We collect certain nonpublic information about you (“Customer Information”). The essential purpose for collecting Customer Information is to allow us to provide advisory services to you. Customer Information we collect may include:
Information that you provide on applications or other forms. This Customer Information may include personal and household information such as income, spending habits, investment objectives, financial goals, statements of account, and other records concerning your financial condition and assets, together with information concerning employee benefits and retirement plan interests, wills, trusts, mortgages and tax returns.
Identifying information such as your name, age, address, social security number, etc.
Information about your transactions with us, or others (e.g. broker/dealers, clearing firms, or other chosen investment sponsors).
Information we receive from consumer reporting agencies (e.g. credit bureaus), as well as other various materials we may use to provide an appropriate recommendation or to fill a service request.
We restrict access to Customer Information to those representatives and employees who need the information to perform their job responsibilities within our Firm.
We maintain agreements, as well as physical, electronic, and procedural securities measures that comply with federal regulations to safeguard Customer Information about you.
Information we Disclose
As a rule, we do not disclose your nonpublic personal information we collect to others. However, because we rely on certain unaffiliated third parties for services that enable us to provide our advisory services to you, such as our attorneys, other consultants, brokers, and custodians who, in the ordinary course of providing their services to us, may require access to your information, it may be necessary to share non-public personal information with certain third parties.
If you decide to close your account(s) or become an inactive customer, we will adhere to our privacy policies, which may be amended from time to time.
Except as required or permitted by law, we do not share confidential information about you with non-affiliated third parties. In the unlikely event there were to be a change in this fundamental policy that would permit or require additional disclosures of your confidential information, we will provide written notice to you, and you will be given an opportunity to direct us as to whether such disclosure is acceptable.
If you have questions about this privacy notice or have a question about the privacy of your customer information please call Ed Kozlowski, COO at 301-865-9740.