Statement of Policy
Confidentiality is a high priority for us. We are providing this notice to inform you of the personal information we may collect and share in order to open your account, to process transactions, to establish appropriate investment objectives and strategies and to communicate, if necessary, with others whom you may employ to assist in your financial affairs.
Essex Financial (herein after referred to as Essex Financial) understands the value you place on maintaining your privacy when it comes to financial matters. As such, we limit access to customer information to individuals in our organization who need it in order to perform their jobs. Employees who have access to customer information are required to safeguard personal information and keep it confidential.
All of our personnel must maintain and preserve the confidentiality of nonpublic personal information entrusted to us by our Clients and Investors. All nonpublic personal information, whether relating to current or former clients, is subject to this Program.
Under Regulation S-P, adopted by the SEC pursuant to the Gramm-Leach-Bliley Act of 1999, all registered investment advisors and broker-dealers are required to have in place policies and procedures designed to protect all nonpublic personal information they may have about individuals who invest in their funds or products, or with whom they have a direct client relationship.
Types of Information We May Collect
In order to service your account, Essex Financial may collect nonpublic personal information from the following sources:
- Information on applications and related forms, or provided by you in person or over the telephone, such as name, address, Social Security number, and assets and income; PP-12/2013
- Information regarding your transactions with us, such as products or services purchased, account balances and payment history;
Essex Financial does not disclose any nonpublic personal information about you to anyone, except as permitted or required by law. However, in the course of servicing your account, we may share the previously described information about our customers with other service providers such as insurance companies, mutual fund companies, affiliated advisors, affiliated brokerdealers, banks, investment firms, or technical application providers, as needed, to effect transactions, provide account maintenance or customer service to your account. We may also disclose your information to other organizations as permitted by law such as government agencies and law-enforcement officials, or to other organizations and individuals with your consent.