What Information Do I Collect?
I collect non-public personally identifiable information about you as described in this section to provide my services. I refer to all of this information as "Client Information."
- Client Information from you: I may collect your name, address, social security number, family and marital status, and information about your income, assets, investments, liabilities, expenses and personal financial transactions.
- Client Information from other sources: I may collect statements or records I receive from investment firms, tax preparation firms and other professionals that you have retained and authorized to provide information directly to me.
How Do I Use and Disclose Client Information?
I use Client Information to:
- Provide my services
- Provide advice and information to help you meet your objectives, including information about other services that may be of interest
- Fulfill my obligations to a regulatory or governmental body to whom I am required to report or to fulfill certain background checks relating to the USA Patriot Act.
In order to provide my services, I may disclose Client Information to non-affiliated companies that perform services for me ("service providers"). I require all service providers to have written contracts with me that specify appropriate uses of Client Information.
I may also disclose Client Information to non-affiliated third parties for other purposes required or permitted by law or regulation. Such necessary disclosures may include:
To comply with a court order, legal process, or other judicial or investigative proceeding that produces a request for information from me;
- To permit auditing of account information;
- To fulfill or respond to a request from you or your authorized representative;
- To sell or transfer my business or assets; and
How I Protect Your Information
I maintain commercially reasonable physical, electronic, and procedural safeguards to protect Client Information from unauthorized access and disclosure.