Privacy Policy
Financial West Group Notice of Privacy Policy and NASD Public
Disclosure Statement
Dear Valued Client:
Financial West Group considers the confidentiality of client
information a top priority. At this time, we want you to know
how we protect personal information we obtain from you or other
sources in the course of providing you with investment products
and services.
Most, if not all, the personal information that we have about
you comes directly from you. Your Representative records information
that you provide, such as your name and address, financial
information, investment experience, occupation and address
of employer, birth date, social security number, e-mail address,
phone number, etc. We also keep and maintain records of any
securities or money positions held in your account. We may
also collect personal information from outside sources, including
consumer reporting agencies and CRD (Central Registration Depository)
if you are, or were, associated with the securities industry.
It is our policy not to disclose any personal information
to non-affiliates who might use your personal information to
contact you about their own products and services. We educate
our employees to protect your personal information. At Financial
West Group, your personal information is available only to
those individuals who are involved in servicing your financial
needs or in supervisory activities. Your Representative will
use your personal information to help evaluate your financial
situation and establish appropriate investment objectives.
In addition, Financial West Group maintains physical, electronic,
and procedural safeguards that comply with applicable laws
and regulations to protect your personal information.
Under certain circumstances, we may, as permitted by law and
without your permission, provide personal information to servicing
agents (securities clearing organizations such as UBS Paine
Webber, Inc.), regulatory or law enforcement authorities, and
persons requesting information pursuant to a subpoena or court
order.
Finally, should your relationship with Financial West Group
end, your personal information will remain protected in accordance
with our privacy policies as outlined in this notice.
You may ask to see or obtain a copy of any information we
have in our records. If any of the information is believed
to be incomplete or inaccurate, you may request that we make
any necessary and appropriate changes. Please send any requests
to:
Financial West Group
Attn: Privacy Policy Department
P.O. Box 5123
Thousand Oaks, CA 91359-5123
We hope that you have found this information helpful, if you
have any questions or would like more information, please don't
hesitate to contact your Representative.
In accordance with National Association of
Securities Dealers, Inc. (NASD) Investor Education and Protection
Rule, we are providing the following information:
The NASD Regulation Inc., Public Disclosure
Hotline telephone number is (800)289-9999
The NASD Regulation Inc., Internet Web site address is www.nasdr.com
A copy of an investor brochure that includes
information concerning the NASDR Public Disclosure Program
can be obtained by calling the Public Disclosure Hotline of
keying in on the NASDR Web Site.
|
