Maintaining the trust and confidence of our clients is a high priority. That is why we want you to understand how we protect your privacy when we collect and use information about you, and the steps that we take to safeguard that information. This notice is provided to you on behalf of Eddy Financial, LLC (“EF”).

Information We Collect: In connection with providing investment products, financial advice, or other services, we obtain non-public personal information about you, including:

  • Information we receive from you on account applications, such as your address, date of birth, Social Security Number, occupation, financial goals, assets and income;
  • Information about your transactions with us, our affiliates, or others;
  • Information about your visit to and store that information in web server logs, which are records of the activities on our sites. The servers automatically capture and save the information electronically. The information we collect in web server logs helps us administer the site, analyze its usage, protect the website and its content from inappropriate use and improve the user’s experience.
  • Information received from credit or service bureaus or other third parties, such as your credit history or employment status.

Categories of Information We Disclose: We may only disclose information that we collect in accordance with this policy. EF does not sell customer lists and will not sell your name to telemarketers.

Categories of Parties to Whom We Disclose: We will not disclose information regarding you or your account at EF, except under the following circumstances:

  • To entities that perform services for us or function on our behalf, including financial service providers, such as a clearing broker-dealer, investment company, or insurance company, other investment advisers;
  • To comply with broker-dealer firms that have regulatory requirements to supervise certain representatives’ activities;
  • To consumer reporting agencies,
  • To third parties who perform services or marketing, client resource management or other parties to help manage your account on our behalf;
  • To your attorney, trustee or anyone else who represents you in a fiduciary capacity;
  • To our attorneys, accountants or auditors; and
  • To government entities or other third parties in response to subpoenas or other legal process as required by law or to comply with regulatory inquiries.

How We Use Information: Information may be used among companies that perform support services for us, such as data processors, client relationship management technology, technical systems consultants and programmers, or companies that help us market products and services to you for a number of purposes, such as:

  • To protect your accounts/non-public information from unauthorized access or identity theft;
  • To process your requests such as securities purchases and sales;
  • To establish or maintain an account with an unaffiliated third party, such as a clearing broker-dealer providing services to you and/or EF;
  • To service your accounts, such as by issuing checks and account statements;
  • To comply with Federal, State, and Self-Regulatory Organization requirements;
  • To keep you informed about financial services of interest to you.

Regulation S-AM: Under Regulation S-AM, a registered investment adviser is prohibited from using eligibility information that it receives from an affiliate to make a marketing solicitation unless: (1) the potential marketing use of that information has been clearly, conspicuously and concisely disclosed to the consumer; (2) the consumer has been provided a reasonable opportunity and a simple method to opt out of receiving the marketing solicitations; and (3) the consumer has not opted out.  EF does not receive information regarding marketing eligibility from affiliates to make solicitations.

Our Security Policy: We restrict access to nonpublic personal information about you to those individuals who need to know that information to provide products or services to you and perform their respective duties. We maintain physical, electronic, and procedural security measures to safeguard confidential client information.

Access to your information is limited.  Only employees and agents who have a business or professional reason for knowing your information are allowed access.

Eddy Financial does not share information with non-affiliated parties except as required or permitted by law or by your consent.  For unaffiliated third parties that require access to your personal information, including financial service companies, consultants, and auditors, we also require strict confidentiality in our agreements with them and expect them to keep this information private.. For example, federal and state regulators may review firm records as permitted under law. We do not provide your personally identifiable information to mailing list vendors or solicitors.

This website may use re-marketing services to advertise on third party websites to previous visitors to our site. Sometimes this means we advertise to previous visitors who haven’t completed a task on our site, for example using the contact form to make an inquiry. This could be in the form of an advertisement on a search results page, or a site on a display network. Third-party online vendors use cookies to serve advertisements based on someone’s past visits to our website. Of course, any data collected will be used in accordance with our own privacy policy and the associated provider’s privacy policy. Updates to our privacy policy will be made in this section of the site. Visits and cookies are anonymous, so we do not see what individuals would see what advertisements.  We also may show ads on other sites, to individuals who have visited before or have interests that relate to our business. You can opt out of interest-based advertising entirely by adjusting cookie settings or permanently using a browser plugin.  When you link to the “opt out” above, you are leaving this site.   We make no representation as to the completeness or accuracy of information provided at these sites.  Nor are we liable for any direct or indirect technical or system issues or consequences arising out of your access to or use of these third-party sites.  When you access one of these sites, you are leaving this site and assume total responsibility for your use of the sites you are visiting. You may also contact us at optout at eddyfinancial dot com to opt out of any communication or advertising from Eddy Financial.

  • Information our clients provide to us to develop and manage their financial plan;
  • Information our clients provide to us in agreements, account applications, and other documents completed in connection with the opening and maintenance of their accounts;
  • Information our clients provide to us orally; and
  • Information we may receive from third parties, such as brokerage firms, about our clients’ transactions with us or with others.

 

Personally identifiable information about you will be maintained during the time you are a client, and for the required time that such records are required to be maintained by federal and state securities laws, and consistent with the CFP® Board Code of Ethics and Professional Responsibility.

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