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Privacy
Notice
While the nature of Registered Investment Advisors
requires that we gather personal financial information
about you, we know that this information must be protected.
The SIA privacy notice applies to information gathered
in connection with the products serviced by the company
as described above.
Information We Collect:
We obtain
most information directly from you, such as information
provided to us on your account application. We also
collect information about your transactions with us,
such as dividends paid, trades, and account numbers.
We may obtain additional information from third parties.
Third parties may include agents, employers and consumer
reporting agencies. Information collected may relate
to your finances, employment, health, avocations or
other personal characteristics, as well as publicly
available information about you.
Information We Disclose:
We may disclose collected information to our non-affiliated
service providers when necessary to carry out our normal
business activities. As permitted by law, these activities
might include processing transactions at your request.
Service providers may include your investment advisor,
investment advisors who service your account, or third
parties that help us provide you with our products and
services. We may also disclose collected information
to financial institutions with which we have a joint
marketing agreement. We also may disclose information
as permitted or required by law. We do not disclose
collected information about our former customers to
anyone except as permitted by law.
Protection of Information:
Our associates are trained and required to maintain
our privacy policies and procedures. Employees who violate
these policies and procedures are subject to disciplinary
action. Third parties to whom we disclose information
are required to maintain adequate security standards
for the protection of collected information. In addition,
we maintain physical, electronic and procedural safeguards
to protect information.
Federal and State laws require us to provide our Privacy
Notice to you each year unless your relationship with
SIA has terminated.
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