2015-2016 PRIVACY NOTICE REGARDING CLIENT PRIVACY
Maintaining the trust and confidence of our clients is a high priority. That is why we want you to understand how we protect your privacy when we collect and use information about you, and the steps that we take to safeguard that information. This notice is provided to you on behalf of Sacks & Associates, LLC.
Information We Collect: In connection with providing investment products, financial advice, or other services, we obtain non-public personal information about you, including:
- Information we receive from you on account applications, such as your address, date of birth, Social Security Number, occupation, financial goals, assets and income;
- Information about your transactions with us, our affiliates, or others; and
- Information received from service bureaus or other third parties, such as your mortgage history or employment
Categories of Information We Disclose: We may disclose all information that we collect when required by the broker/dealer or government agency. Sacks & Associates, LLC. and its affiliates do not sell customer lists and will not sell your name to third-party marketers.
- To your authorized Investment Advisor Representative and her manager;
- To establish or maintain an account with an unaffiliated third party, or to entities that perform services for us or function on our behalf, such as account reconciliation and compliance vendors; financial service providers, such as a clearing broker-dealer, investment company, or insurance company;
- To consumer reporting agencies, if requested by
- To your attorney, trustee or anyone else who represents you in a fiduciary capacity;
- To our attorneys, accountants or auditors; and
- To government entities or other third parties in response to subpoenas or other legal process as required by law or to comply with regulatory
How We Use Information: Information may be used among our supporting companies once the securities account is opened:
- To protect your accounts from unauthorized access or identity theft;
- To process your requests such as securities purchases and sales;
To establish or maintain an account with an unaffiliated third party, such as a clearing broker-dealer providing services to you and/or Sacks & Associates, LLC;
- To service your accounts, such as by issuing checks and account statements;
- To comply with Federal, State, and Self-Regulatory Organization requirements;
- To keep you informed about financial services of interest to
Our Security Policy: We restrict access to nonpublic personal information about you to those individuals who need to know that information to provide products or services to you and perform their respective We maintain physical, electronic, and procedural security measures to safeguard confidential client information.
- Closed or Inactive Accounts: If you decide to close your account(s) or become an inactive customer, our Privacy Policy will continue to apply to
- Complaint Notification: Please direct complaints to: Sacks & Associates, LLC.,
- Changes to This Privacy Policy: Sacks & Associates, LLC. reserves the right to change these Privacy Principles, and any of the policies or procedures described above, at any time without prior notice. However, you will be promptly provided with a current copy of our privacy notice upon material changes or upon request. So long as you remain an active customer, you will receive a current copy of our privacy notice at least annually. These Privacy Principles are for general guidance and do not constitute a contract or create legal rights, and do not modify or amend any agreements we have with you.
If you have any questions concerning this Privacy Policy, please write to:
Sacks & Associates, LLC.
1160 US Highway 22, Suite 202,
Bridgewater, NJ 08807
Tel: 908-864-4956 | Fax: 908-393-5814
[email protected]
