What We Collect
We are committed to safeguarding client personal and financial information in the strictest confidence. To provide you with individualized advice, recommendations, and service, we collect certain public and nonpublic personal information about you that you provide on applications or other forms, whether in writing, in person, by telephone, electronically or by any other means, as well as information about your account. This may include your name, address, phone number, date of birth, Social Security number, assets, income, purchases, sales and account balances.
How Your Personal Information Will Be Handled
We collect this data to continually offer you advice for your individual situation, recommend products and services you need to help meet your investment objectives and to effect, administer or enforce transactions you authorize. We do not sell your information to anyone.
To better serve you, we may disclose your information to:
- Our broker/dealer and registered investment advisers, independent contractor financial advisors, their affiliated businesses, clearing firms, insurance companies, mutual fund companies, third-party administrators, other broker/dealers, investment advisors and other such entities that provide services to you.
- Affiliates that have been organized to assist in the conduct of our business, and as otherwise permitted by law.
- Companies that perform administrative or marketing services on our behalf, such as consultants, software providers or printers. These companies will use this data only for the services for which we hire them and are not permitted to share or use this information for any other purpose.
- Your employer with respect to employer-retirement plan assets only, as applicable.
How We Safeguard Your Information. With our internal security procedures, we restrict access to your personal and account information to those employees and advisors who need to know. We maintain physical, electronic and procedural safeguards designed to protect your nonpublic personal financial information — including training and confidentiality agreements with companies that provide services to you.
How We Protect You Online. Our concern for the privacy of our clients also extends to those who utilize our websites. We will not sell, share or rent this information to others in ways not disclosed in this statement.
What You Can Do. For your protection, we recommend that you do not provide your account information to anyone. If you believe the confidentiality of your account information may have been compromised or you become aware of any suspicious activity relating to your account, please contact our Director of Client Services immediately at 1-877-566-9468, extension 422.
If you have questions about our policy or require additional copies of this notice, please contact your financial advisor.
Knox Financial Services, LLC
1-877-566-9468 (toll-free) • (563) 422-8824
FAX: (563) 559-7303
Visit us at www.knoxfin.com