Privacy
Statement
- Witnauer
Sloan & Associates, LLC, an independent financial planning and investment
management firm, is committed to safeguarding the confidential information
of its clients. We hold all personal information provided to our firm in
the strictest confidence. These records include all personal information
that we collect from you in connection with any of the services provided
by Witnauer Sloan & Associates, LLC. We have never disclosed information
to nonaffiliated third parties, except as permitted by law, and do not anticipate
doing so in the future. If we were to anticipate such a change in firm policy,
we would be prohibited under the law from doing so without advising you
first. As you know, we use financial and health information that you provide
to us to help you meet your personal financial goals while guarding against
any real or perceived infringements of your rights of privacy. Our policy
with respect to personal information about you is listed below.
-
We limit employee and financial advisor access to information only to those
who have a business or professional reason for knowing, and only to nonaffiliated
parties as permitted by law. (For example, federal regulations permit us
to share a limited amount of information about you with our investment custodian
in order to execute securities transactions on your behalf).
-
We maintain a secure office and computer environment to ensure that your
information is not placed at unreasonable risk.
- The
categories of nonpublic personal information that we collect from a client
depend upon the scope of the client engagement. It will include information
about your personal finances, information about your health to the extent
that it is needed for the planning process, information about transactions
between you and third parties, and information from consumer reporting agencies.
- For
unaffiliated third parties that require access to your personal information,
including financial service companies, we also require strict confidentiality
in our agreements with them and expect them to keep this information private.
Federal and state regulators also may review firm records as permitted under
law.
- We
do not provide your personally identifiable information to mailing list
vendors or solicitors for any purpose.
- Personally
identifiable information about you will be maintained during the time you
are a client, and for the required time thereafter that such records are
required to be maintained by federal and state securities laws and tax regulations,
and consistent with the CFP Board Code of Ethics and Professional Responsibility
and the AICPA Code of Professional Conduct. After this required period of
record retention, all such information will be destroyed.