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Watters Financial Services, LLC (“WFS”) believes it is essential that we maintain the privacy of the nonpublic personal information that you provide to us and that we obtain in connection with providing our products and services to you.
WFS limits the use, collection, and retention of such information to what we believe is necessary or useful to conduct our business and to provide and offer you quality products and services, as well as other opportunities that may be of interest to you. Information collected will include, but is not limited to name, address, telephone number, employment status, annual income, and net worth.
In providing products and services to you, we collect nonpublic personal information about you from the following sources:
- Information we receive from you on applications or other forms (e.g. investment/insurance applications, new account forms, and other forms and agreements);
- Information about your transactions with us, or others (e.g. broker/dealers, clearing firms, or other chosen investment sponsors); and
- Information we receive from consumer reporting agencies (e.g. credit bureaus), as well as other various materials we may use to
WFS places strict limits on who receives specific information about your account(s) and other personally identifiable data. As a rule, we do not disclose nonpublic personal information we collect to others. However, because we rely on certain third parties for services that enable us to provide our advisory services to you, such as our custodian, TD Ameritrade who, in the ordinary course of providing their services to us, requires access to particular information, we may share non-public personal information with such third parties. Additionally, we will share such information where required by legal or judicial process, such as a court order, or otherwise to the extent permitted under the federal privacy laws.
If provided with a Power of Attorney or Living Trust document, the client is giving WFS the permission to contact that person(s) listed in that document if there are reasonable concerns that the client may not be acting in his/her best interests due to a medical condition such a dementia. In these cases, it may be recommended that a family member or advocate of the client’s choosing attend the meetings or telephone conference calls.
We restrict access to nonpublic personal information about you to those persons associated with WFS who need access to such information in order to provide our services to you. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your nonpublic personal information.
WFS 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 client, you will receive a current copy of our privacy notice at least annually. If you decide to close your account(s) or become an inactive client, we will adhere to the privacy policies and practices as described in this notice.