At HA&W Wealth Management, LLC, we are committed to maintaining the confidentiality, integrity and security of nonpublic personal information provided and entrusted to us, by you, in order for us to provide thorough financial and planning services to you, our client. When you provide personal information to us, we believe you should be aware of our policies to protect the confidentiality of that information.
We may collect certain nonpublic personal information about you,
but only when that information is provided by you or is obtained
by us with your authorization, for the purpose of offering or furnishing
services to you. We use that information to evaluate your financial
situation and may also use it to provide various tax and financial
planning services and products to you at your request.
Information you have authorized us to obtain from others, including but not limited to, brokerage or other financial information.
We may share personal information about you with firms that assist us in servicing your account or accounts and processing transactions you request. We may share personal information about you among our affiliates to offer or provide further products and services to you. Our affiliates include the following:
Habif, Arogeti & Wynne, LLP HA&W Strategic Partners,
HA&W Risk Management, LLC HA&W Benefit Advisors, LLC
We do not disclose personal information about you with nonaffiliated third parties except as permitted or required by law (e.g., disclosures to service client accounts or to respond to subpoenas). We may share personal information about you with nonaffiliated individuals or entities that you have previously authorized, including but not limited to, your other professional advisors and/or service providers (i.e., attorney, accountant, insurance agent, broker-dealer, investment adviser, account custodian).
In addition to that described in this notice, we restrict access
to nonpublic personal information about you to employees of
our firm and, in limited situations, to other nonaffiliated
third parties who assist us in providing services to you. Their
right to further disclose and use the information is limited
by the policies of our firm, applicable law, our Code of Professional
Conduct and nondisclosure agreements where appropriate. We also
maintain physical, electronic and procedural safeguards in compliance
with applicable law and regulations to guard your nonpublic
personal information. We reserve the right to amend our policies
at any time and will notify you should this occur.
Thank you for allowing us to serve you. We value your business and are committed to protecting your privacy. We hope you view our firm as your most trusted adviser and we will work to continue earning your trust and respect. Please call us if you have any question or if we can be of further service.
Securities offered through Purshe Kaplan Sterling Investments, Member FINRA/SIPC, Headquartered at 18 Corporate Woods Blvd., Albany, NY 12211
Updated: January 2013