We are committed to safeguarding your confidential information because mutual trust is essential to a successful relationship. Your personal privacy is extremely important to you. To that end, below is our policy for handling your personal information. We welcome any questions or concerns you may have regarding your personal privacy.
We collect non-public information from you, our client, to assist us in giving you appropriate investment advice and in managing your investments. “Nonpublic personal information” is nonpublic information about you that we obtain in connection with providing a financial product or service to you for personal, family, or household purposes. It does not include information available from government records, widely distributed media, or government mandated disclosures. The categories of nonpublic information that we collect from you depends on the scope of your engagement. We collect nonpublic personal information about you from the following potential sources:
We do not disclose non-public, personal information about our clients or former clients to anyone else except as otherwise permitted or required by law. For example, we are permitted by law to share information about you with:
We do not provide your personally identifiable information to direct marketers or independent solicitors (for other companies) for any purpose.
While the securities industry considers you clients of USA Financial Securities®, we understand that a relationship exists between you and your financial adviser as a result of many meetings and personal, financial conversations. Accordingly, when and if your representative leaves USA Financial Securities®, we permit him or her to take your account information to his or her new broker-dealer in order to continue servicing your account. However, if you do not want us to allow your representative to take your personal, non-public information, you may contact us at (888)407)8198 and opt-out of this provision. If you have any questions regarding this provision, you may also contact us at the number above.
If you decide to close your account(s), we will continue to adhere to the privacy practices described in this policy, once you become a former client. You become a former client when your Client Services Agreement is terminated. We will maintain personally identifiable information about you during the time you are a client, and for any time thereafter that we are required to maintain the records by federal and state securities laws. After this required period of record retention, all of your information will be destroyed.
We take reasonable steps to assure the security of client information. We restrict access to nonpublic, personal information about you to those employees who have a business or professional reason for knowing, as permitted by law. We maintain an office and computer environment reasonable designed to help ensure that your information is not placed at unreasonable risk of disclosure or theft. We have designed reasonable physical, electronic, and procedural safeguards to help protect your nonpublic, personal information.
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