What information do we collect?
The information we collect comes directly from you and, depending on the services or products you obtain from us, may contain the following:
- Name, address, social security number, birth date, assets, income, account transaction information and employment information as well as information about your accounts with others, information from our affiliates (including Blum Management Group, Inc.) and others about your transactions, and information from account forms and interviews with you.
- Identification and account information from your employer benefit plan sponsor or association regarding any group product services we may provide.
- Consumer credit reporting agency information concerning your credit worthiness and credit history.
- Information provided when verifying applications or other forms from your current or past employers and from other institutions where you conduct business.
What information may we disclose?
Your non-public personal information is restricted to those employees and agents who need to know your information to perform their responsibilities or to provide services to you.
- We never sell or disclose your non-public personal information to non-affiliated third-party marketing companies.
- We may share your non-public information that we collect with our affiliated companies as permitted by law. Additionally, to help us provide products or services to you, we may share your confidential information with non-affiliated third parties (such as mutual fund companies, insurance companies or other product sponsors) and non-financial companies (such as consumer reporting agencies, software developers or consulting firms).
- We may also disclose your non-public information to other financial institutions (such as banks, credit unions, thrifts and trust companies) with which we have joint marketing agreements. Please be aware that these companies are contractually obligated to keep your information confidential and use the information only for the services required or as allowed by applicable law.
- In certain cases, we may be required by law or regulation to disclose your non-public personal information to third parties (in response to a subpoena or court order, to prevent fraud, and to comply with the rules of industry regulators or in response to inquiries from them).
- Other than what is described in this notice, we won’t share information about you with third parties to market products to you without telling you and giving you a chance to say no.
What other disclosures may we make?
We understand that you have a special relationship with your Investment Adviser Representative (“IAR”). Should your IAR decide to move to another Registered Investment Adviser (“RIA”), if you wish, your IAR may take your non-public confidential information to a new firm so that he or she can continue to service your account(s) at the new firm. Similarly, if your account was opened with us because of your relationship with a financial institution, such as a bank, thrift or credit union, and your financial institution decides to enter into a relationship with a new firm to provide investments, we will share your non-public personal information with your financial institution so your account can continue to be serviced at your financial institution. Please let us know immediately if you do not want Strategic Wealth Planning & Blum Financial, LP to disclose your non-public personal information with either your IAR or your financial institution should either move to another RIA. You should contact Stephen Blum at 1.214.727.6000, or mail a written notice advising us not to share your confidential information
The Financial Industry Regulatory Authority (FINRA) makes available information about the registration status and/or disciplinary record of broker-dealers and their registered representatives. The information can be obtained by calling toll-free at 800.289.9999. The FINRA Web site contains other useful information for investors at www.finra.org.