Investment advisers are required by law to inform their clients of their policies regarding privacy of client information. We are bound by professional standards of confidentiality that are even more stringent than those required by law. Federal law gives customer the right to limit some but not all sharing of personal information. It also requires us to tell you how we collect, share, and protect your personal information.
CATEGORIES OF NONPUBLIC PERSONAL INFORMATION (NPI) WE COLLECT
We collect nonpublic personal information about you that is either provided to us by you or obtained by us with your authorization. This can include but is not limited to your Social Security Number, Date of Birth, Banking Information and Financial Account Numbers and/or Balances, Sources of Income, Credit Card Numbers or Information. When you are no longer our customer, we may continue to share your information only as described in this notice.
CATEGORIES OF THIRD PARTIES TO WHOM WE DISCLOSE INFORMATION
All Investment Advisers may need to share personal information to run their everyday business. Below are the types of third parties with whom we may share your personal information:
- Our Service Providers – companies that to process your transactions, maintain your account(s), or respond to court orders and legal investigations, or report to credit bureaus.
- Third Party Service Providers – companies that to wish to offer you their services directly.
- Marketers – companies offering you our products and services or those of other companies.
Clients may opt out of sharing information for joint marketing to other financial companies, to our affiliates and to non-affiliates. If you are a new customer we may begin sharing your information on the day you sign our agreement. When you are no longer our customer, we may continue to share your information as described in this notice. However, you can contact us at any time to limit our sharing.
PROTECTING THE CONFIDENTIALITY OF CURRENT AND FORMER CLIENT’S INFORMATION
To protect your personal information from unauthorized access and use, we use security measures that comply with federal law, including computer safeguards and secured files and building.
FEDERAL LAW GIVES YOU THE RIGHT TO LIMIT SHARING – OPTING OUT
Federal law allows you the right to limit the sharing of your NPI by “opting-out” of the following: sharing for affiliates’ everyday business purposes – information about your creditworthiness; sharing with affiliates who use your information to market to you; or sharing with non-affiliates to market to you. State laws and individual companies may give you additional rights to limit sharing. Please notify us immediately if you choose to opt out of these types of sharing.
DEFINITIONS: Affiliates – companies related by common ownership or control. They can be financial and nonfinancial companies; Non-affiliates – companies not related by common ownership or control. They can be financial and nonfinancial companies; Joint marketing – a formal agreement between non-affiliated financial companies that together market financial products or services to you.
Please call if you have any questions. Your privacy, our professional ethics, and the ability to provide you with quality financial services are very important to us.
StockRoller, Inc. Investment advisory services offered through StockRoller, Inc. (SR), a registered investment adviser. SR does not offer legal or tax advice. Please consult the appropriate professional regarding your individual circumstance. This site is published for residents of the United States only. Representatives may only conduct business with residents of the states and jurisdictions in which they are properly registered. Therefore, a response to a request for information may be delayed until appropriate registration is obtained or exemption from registration is determined. Not all of services referenced on this site are available in every state and through every advisor listed. For additional information, please contact StockRoller at [email protected]