The Social Equity Group







Privacy Policy

Financial West Group Notice of Privacy Policy and FINRA 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. (FINRA) Investor Education and Protection Rule, we are providing the following information:

The FINRA Regulation Inc., Public Disclosure Hotline telephone number is (800)289-9999
The FINRA Regulation Inc., Internet Web site address is www.FINRA.com

A copy of an investor brochure that includes information concerning the FINRA Public Disclosure Program can be obtained by calling the Public Disclosure Hotline of keying in on the FINRA Web Site.



Copyright 1997 Social Equity Group (SEG) - SEG is a Registered Investment Advisor.
Registered Representatives of and securities offered through
Financial West Group, member FINRA, SIPC. SEG and FWG are unaffiliated entities.

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