Privacy Policy

How We Use and Protect Personal Information. To protecting your privacy is very important. We value your trust and we want you to understand what information we collect, how we protect it, and how we use it. We treat personal information nonpublic information that identifies you with respect and in accordance with this Privacy Policy.

Information We May Collect. limits the use, collection, and retention of client information to what we believe is necessary or useful to conduct our business, provide quality service, and offer products, services and other opportunities that may be of interest to our clients. Information collected may include, but is not limited to:

  • Information related to the services you purchase through us, including program applications, investor profile questionnaire forms or other forms, containing your name, address telephone number, social security number, email address, investment objectives, income assets, employment information, 401(k) plan information and other account information.
  • Information regarding your brokerage and/or investment advisory transaction history with us, our affiliates and our service providers, such as clearing firms, or other compares who assist us in marketing our own products and services or products we offer jointly with other financial institutions.
  • Information under the USA Patriot Act enacted by the United States Treasury Department and Congress to combat terrorism. (Investor notification is available upon request).

How We Protect your Information. recognizes that it must maintain accurate client records. Therefore, we have established procedures to maintain the accuracy of Client information and to keep such information current and complete. These procedures include responding to requests to correct inaccurate information in a timely manner.

Limiting Employee Access to Information. At, employee access to personally identifiable client information is limited to those with a business reason to know such information. Employees are educated on the importance of maintaining the confidentially of client information and on this Privacy Policy. Because of the importance of these issues, all employees are responsible for maintaining the confidentiality of client information and employees who violate this Privacy Policy will be subject to disciplinary measures.

Protection of Information via Established Security Procedures. recognizes that a fundamental element of maintaining effective client privacy procedures is to provide reasonable protection against the unauthorized access of client information. Therefore, has established appropriate security standards and procedures to guard against any unauthorized access to client information.

Information We May Disclose and to Whom We May Disclose Information. does not disclose your personal information to companies or organizations not affiliated with us that would use the information a have provided them to contact you about their own products and services. We may disclose all the personal information we collect, as described above, in the following types of situations:

  • To third parties when mutually agreed upon between you and;
  • When you and deem it necessary in order to achieve objectives pursuant to your Agreement with
  • When required by law to do so.

Maintaining Client Privacy in Business Relationships with Third Parties. If we provide personally identifiable client information to a third party, we will insist that the third parts keep such information confidential, consistent with the conduct of our business relationship.

Disclosures of Privacy Policy to Clients. recognizes and respects the privacy expectations of our clients. We want our clients to understand our commitment to privacy in our use of client information. As a result of our commitment, we have developed this Privacy Policy which is made readily available to our clients. Clients who have questions about this Privacy Policy or have a question about the privacy of their client information should call at (877)700-7137 or email us at

This Privacy Policy applies to individuals, and we reserve the right to change it, and any of the policies or procedures described above at any time without prior notice. This Privacy Policy is for general guidance and does not constitute a contract or create legal rights and does not modify or amend any agreements we have with our clients.

Former Clients. Even if you are no longer a client, Privacy Policy will continue to apply to you.