Client Information Privacy Principles
Anson Analytics, Inc. views protecting its clients’ private information as a top priority and, pursuant to the requirements of the Gramm-Leach Bliley Act, the Firm has instituted policies and procedures to ensure that client information is kept private and secure.
Except as required or permitted by law, we do not share confidential information about you with nonaffiliated third parties. In the unlikely event there were to be a change in this fundamental policy that would permit additional disclosures of your confidential information, we will provide written notice to you, and you will be given an opportunity to direct us as to whether such disclosure is permissible.
Client Information We Collect: We collect and develop personal information about you, and some of that information is nonpublic personal information (“Client Information”). The essential purpose for collecting Client Information is to provide and service the financial products and services you obtain from our Firm.
Client Information we collect includes:
Information we receive from you on financial inventories through consultation with our representatives. This Client Information may include personal and household information such as income, spending habits, investment objectives, financial goals, statements of account, and other records concerning your financial condition and assets, together with information concerning employee benefits and retirement plan interests, wills, trusts, mortgages and tax returns.
Information developed as part of financial plans, analyses, or investment advisory services.
Information concerning investment advisory account transactions, such as wrap account transactions.
Information about your financial products and services transactions with us.
Data Security: We restrict access to Client Information to those representatives and employees who need the information to perform their job responsibilities within our Firm. We maintain agreements, as well as physical, electronic, and procedural securities measures that comply with federal regulations to safeguard client Information about you.
Use And Disclosure Of Client Information To Provide Customer Service For Your Accounts: To administer, manage and service client accounts, process transactions and provide related services for your accounts, it is necessary for us to provide access to Client Information within our Firm and to nonaffiliated
companies such as Fidelity Investments, trust companies, custodians and insurance companies. We may also provide Client Information outside of our Firm as permitted by law, such as to government entities, consumer reporting agencies or other third parties in response to subpoenas.
Former Clients: If you close an account with our Firm, we will continue to operate in accordance with the principles stated in the Notice.
Questions: Clients who have questions about these Privacy Principles or have a question about the privacy of their client information should call Samuel Sweitzer at 678-216-0795 or e-mail him at [email protected].