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Wealth Analytics
Your relationship with Wealth Analytics
is based on trust and confidence. To fulfill its responsibilities to you, Wealth Analytics requires that you provide
current and accurate financial and personal information. You deserve to expect that Wealth Analytics will protect
the information you have provided in a manner that is safe, secure and professional. Wealth Analytics and its employees
are committed to protecting your privacy and to safeguarding that information.
SAFEGUARDING CLIENT ACCOUNT INFORMATION
We collect non-public customer data
in checklists, forms, in written notations, and in documentation provided to us by our customers for evaluation,
registration, licensing or related consulting services. We also create internal lists of such data.
During regular business hours access to customer records is monitored so that only those with approval may access
the files. During hours in which the company is not in operation, the customer records will be locked.
No individual who is not so authorized shall obtain or seek to obtain personal and financial customer information.
No individual with authorization to access personal and financial customer information shall share that information
in any manner without the specific consent of a firm principal. Failure to observe Wealth Analytics procedures
regarding customer and consumer privacy will result in discipline and may lead to termination.
SHARING NONPUBLIC PERSONAL AND FINANCIAL
INFORMATION
Wealth Analytics is committed to the
protection and privacy of its customer’s and consumer’s personal and financial information. Wealth Analytics will
not share such information with any nonaffiliated third party except:
When necessary to complete a transaction in the account, such as with the clearing firm or account custodians;
When required to maintain or service a customer account;
To resolve customer disputes or inquiries;
With persons acting in a fiduciary or representative capacity on behalf of the customer;
With rating agencies, persons assessing compliance with industry standards, or to the attorneys, accountants and
auditors of the firm;
To protect against or prevent actual or potential fraud, identity theft, unauthorized transactions, claims or other
liability;
To comply with federal, state or local laws, rules and other applicable legal requirements;
In connection with a written agreement to provide investment management or advisory services when the information
is released for the sole purpose of providing the products or services covered by the agreement;
When required by a regulatory agency, or for other reasons required or permitted by law;
In connection with a sale or merger of Wealth Analytics’s business;
In any circumstances with the customer’s instruction or consent; or
Pursuant to any other exceptions enumerated in the California Information Privacy Act.
OPT-OUT PROVISIONS
It is not a policy of Wealth Analytics
to share nonpublic personal and financial information with unaffiliated third parties except under the circumstances
noted above. Since sharing under the circumstances noted is necessary to service the client account or mandated
by competent authority there are no allowances made for clients to opt out. |
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