NOTICE REGARDING TREATMENT OF CONFIDENTIAL INFORMATION
Privacy Notice to Our Clients.
Why We Collect And How We Use Information.
When we evaluate your request for our services, provide investment advice to you and process transactions for your account, you typically provide us with certain personal information necessary for these transactions. We may also use that information to offer you other services we provide which may meet your investment needs.
What Information We Collect.
The personal information we collect may include:
- Name and address;
- Social Security or taxpayer identification number;
- Account balance;
- Investment activity; and
- Accounts at other institutions.
How We Protect Information.
We do not sell your personal information to anyone.
We treat information about current and former clients and their accounts in a confidential manner. Our employees may access information and provide it to third parties only when completing a transaction at your request or providing our other services to you.
At your request, we may disclose information to attorneys, accountants, lawyers, securities professionals and others to assist us, or them, in providing services to you. We may also share information with companies that perform services on our behalf, such as the companies that we hire to perform marketing or administrative services. Companies we may hire to provide support services are not allowed to use your personal information for their own purposes. We may make additional disclosures as permitted by law.
We also maintain physical, electronic, and procedural safeguards to protect information. Employees and our professional service representatives are required to comply with our established information confidentiality provisions.
Sharing With Affiliates
In our efforts to better serve your financial needs and to provide you with information about current financial or accounting-related events, we may share the client information we collect with an affiliate of Huth Advisory Group, LLC, J.A. Huth & Associates, Inc., an accounting firm. Such information will typically be used to send you informational publications or to offer you other services.
You may ask us not to share certain information with J.A. Huth & Associates including:
- Information we obtain from you, such as your name, income, assets or employer.
- Information we may obtain from third parties to verify information you provided to us, such as your investment account broker.
- Information we may obtain from another person regarding your financial or other circumstances such as your accountant or attorney.
You have a choice as to whether or not you want this information shared with our affiliate. If you prefer that we do not share this information, please inform us that you wish to “opt out” of such information sharing. We will then not share such information unless it is with your prior permission for services you ask our affiliate to perform for you.
Access to And Correction of Information.
Generally, upon your written request, we will make available information for your review. Information collected in connection with, or in anticipation of, any claim or legal proceeding will not be made available.
If your personal information with us becomes inaccurate, or if you need to make a change to that information, please contact us at the number shown below so we can update our records.
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602 Waldoch Drive, Appleton, WI 54913 Disclaimer/Privacy