Updated: August 15, 2021
AdventEdge Financial, LLC (“AEF”) recognizes that our relationships with current and prospective clients are based on integrity and trust. We work hard to maintain your privacy and to preserve the private nature of our relationship with you. We place the highest value on the information you share with us. AEF will not disclose your personal information to anyone unless it is required by law or at your direction. We will not sell your personal information. AEF will provide the privacy statement to all clients annually.
We want our clients to understand what information we collect, how we use it, and how we protect it responsibly.
WHY WE COLLECT YOUR INFORMATION
We gather information about you so that we can:
- Help design and implement the investment and planning related services we provide you; and
- Comply with the Federal and State laws and regulations that govern us.
WHAT INFORMATION WE COLLECT AND MAINTAIN
We may collect the following types of “nonpublic personal information” about you:
- Information from our initial meeting or subsequent consultations about your identity, such as your name, address, social security number, date of birth, and financial information.
- Information that we generate to service your financial needs.
- Information that we may receive from third parties with respect to your financial profile.
HOW WE USE YOUR INFORMATION WE COLLECT
Any and all nonpublic personal information that we receive with respect to our clients who are natural persons is not shared with non-affiliated third parties which are not service providers to us without prior notice to, and consent of, such clients, unless otherwise required by law.
In the normal course of business, we may disclose the kinds of nonpublic personal information listed above to non-affiliated third party service providers involved in servicing and administering products and services on our behalf. Our service providers include, but are not limited to, our administrator, our auditors, and our legal advisor.
In addition, if we choose to dispose of our clients’ nonpublic personal information that we are not legally bound to maintain, we will do so in a manner that reasonably protects such information from unauthorized access. The same privacy policy also applies to former clients who are natural persons.
WHAT INFORMATION WE DISCLOSE
We are permitted by law to disclose nonpublic information about you to unaffiliated third parties in certain circumstances. For example, in order for us to provide planning or investment management services to you, we may disclose your personal information in limited circumstances to various service providers, such as our clearing firm. If the Financial Planner leaves AEF to join another firm, he or she may be permitted to retain copies of client information so that they can assist with the transfer of client accounts and continue to serve the client at their new firm.
“Opting-Out” of Third Party Disclosures: If you do not want your Financial Planner to retain copies of your client sensitive information when he or she leaves us to join another firm, you may contact us by calling 909-910-8888.
Otherwise, AEF will not disclose any personal information about you or your account(s) unless one of the following conditions is met:
- We receive your prior written consent; or
- We have documentation that the recipient is your authorized representative; or
- We are required by law to disclose information to the recipient
Arrangements with companies or independent contractors not affiliated with AEF will be subject to confidentiality agreements.
HOW WE PROTECT YOUR PERSONAL INFORMATION
We restrict and limit access to nonpublic personal information about our clients to those employees and agents who need to know that information to provide products and services to our clients. We maintain physical, electronic and procedural safeguards to protect our clients’ nonpublic personal information. We respect and value that you have entrusted us with your private financial information, and we will work diligently to maintain that trust.
MAINTENANCE OF INFORMATION
Personally identifiable information about you will be maintained during the time you are a client, and for the required time that such records are required to be maintained by federal and state securities laws, and consistent with the CFP® Board Code of Ethics and Professional Responsibility.
If you are satisfied with the way your personal information is collected and handled you do not need to take any action at this time. This notice replaces all previous statements of our consumer privacy policy, and may be amended at any time. We will provide you with annual reminders of our policies and with revised policies if there are any changes in how we handle your personal information. If you have any questions about this privacy policy you may call 909-910-8888 or email [email protected].
Former Customers: If you terminate your relationship with AdventEdge Financial, LLC, we will continue to adhere to the policies and practices described in this notice.