Important Notice Regarding Client Privacy
Maintaining the trust and confidence of our clients is high priority and we take your personal privacy seriously. We have physical, electronic and organizational safeguards in place to protect client information. We continually review our policies and practices, monitor our computer network and test the strength of our security in order to help us ensure the safety of client information.
Information we collect
We collect and use information in connection with providing investment products, financial advice, and other services. We obtain nonpublic personal information about you including:
• Information we receive from you on account applications
• Information about your transactions with us or others, including clearing brokers, mutual fund companies and trust companies
Information we disclose
We will not disclose information regarding you or your account(s) except under the following circumstances:
• To establish or maintain an account with an unaffiliated party, such as a clearing broker, mutual fund company or trust company providing services for you
• To government entities or other parties in response to subpoenas or other legal process as required by law
We do not sell client information. Only those individuals who need the information to perform their jobs are authorized to have access to confidential client information. We maintain physical, electronic and procedural security measures that comply with applicable state and federal regulations to safeguard confidential client information.
Closed or inactive account
If you close your account(s) or become an inactive client, we will adhere to the privacy policies and practices as described in this notice.
You will be notified if we make any substantial changes to our privacy policies.