Your Privacy Is Important
In the normal course of business, we collect personal information about you from a variety of sources, depending on the product or service you use with us. This can include:
- Information from you, such as information we receive from you to facilitate the reasonable determination that our investment advice is suitable for you based on your individual financial situation and investment objectives; and for purposes completing your account applications or on other forms with your qualified custodian, or otherwise, such as your name, address, social security number, marital status, employment, investment experience, risk tolerance, assets, income, banking information, including wire transfer instruction; and
- Information about you, your other securities or asset holding accounts, securities buy/sell orders, money movement orders, or other transactions that we receive directly from you, or from others you authorize such as you qualified account custodian(s), broker-dealers, and/or other financial services firms, banks, or ERISA plan sponsors.
How We Manage and Protect Your Personal Information
We do not sell or disclose non-public information about current or former clients to any unauthorized third-parties. We may disclose your personal information as necessary to:
- Effect, administer, and/or initiate securities order(s) or other types of securities transactions, or money transfers that you request or authorize;
- Process, service, and/or implement a financial plan, recommendation, product or service that you request or authorize; or
- maintain or service your account(s) with us, or with another entity, including your qualified custodian, in accordance with your agreement with us and them, as the case may be.
We may also disclose personal information for everyday business purposes to:
- Organizations or firms who provide consulting, technology or other services for us who agree to strictly maintain the confidentiality of your information; and others, such as attorneys, trustees, family members, or others who are authorized to represent you, your estate, or a joint or co-owner of your account(s); regulatory agencies; or as we are otherwise permitted or required by law/regulation or by process of law, court, order, regulatory body, or arbitration proceeding, as the case may be.
We restrict access to your personal information to our employees and to permitted third-parties who need to know that information to provide products or services for us or you, and/or to provide, process, or maintain any security position, transaction, account, asset, cash, or investment product, service or program for you and/or your benefit. To protect your personal information from unauthorized access and use, we have adopted administrative, technical, and physical security procedures that comply with applicable law. These measures include, but are not limited to, computer safeguards, secured files, and locked office space/buildings.
We are required by applicable regulation or law to at least annually provide a notice describing our privacy policies. We will also inform you promptly if there are changes to our policy. Our privacy policies, as amended from time to time, apply to all current and former clients. We reserve the right to amend our privacy policies at any time, subject to compliance with applicable regulatory requirements. Please do not hesitate to contact us with questions about this Notice.
© 2022 Equius Partners, Inc.