We collect personal information in the normal course of business in order to administer client accounts and serve our clients better. We use your personal information to help us deliver the best possible service to them, and to fulfill our regulatory obligations as required by law. We never sell a client’s personal information or provide any of our client’s personal information to mass mailing companies, vendors or any other solicitors. Furthermore we do not disclose personal information to third parties, unless one of the following limited exceptions applies.
- We may disclose personal information to companies including but not necessarily limited to an account custodian that help us establish, process or service, client account(s). We have written agreements with these companies that prohibit them from using personal information for their own purposes.
- We may disclose personal information to other professionals whom our clients have retained to help them if they have specifically asked us to do so.
- We may disclose or report personal information in limited circumstances where we believe in good faith that disclosure is required or permitted under law, for example, to cooperate with regulators or law enforcement authorities, resolve consumer disputes, perform credit/authentication checks, or for institutional risk control.
- We restrict access to personal information to our employees and agents for business purposes only. All employees are trained and required to safeguard such information. All employees have signed a written confidentiality agreement.
- We maintain physical, electronic, and procedural safeguards to protect our cleint’s personal information. We continue to evaluate our efforts to protect personal information and make every effort to keep your personal information accurate and up to date.
Outside of these exceptions, we will not share personal information with third parties unless a client has asked us to do so. If it is necessary to disclose any personal information in a way that is inconsistent with this policy, we will give you advance notice so that they will have the opportunity to opt-out of such disclosure.