Maintaining your trust and confidence is among our highest priorities. We recognize that protecting the privacy and security of our customers is an important responsibility. That’s why we at Purshe Kaplan Sterling Investments, Inc. 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.
What Information We Collect
We collect certain nonpublic personal identifying information about you (such as your name, address and social security number) from information that you provide on applications and other forms and through other communications (such as email and telephone) with you or your authorized representatives (such as your attorney and accountant). We also collect information about your brokerage accounts and transactions (such as purchases, sales, account balances and inquiries).
What Information We Disclose
We do not disclose the nonpublic personal information we collect about you to anyone except to further our business relationship with you and then only to those persons necessary to effect the transactions and provide the services that you authorize (such as broker-dealers, custodians and independent managers) or as otherwise provided by law.
We may share information with a registered investment advisory firm you have contracted with to provide investment advisory services, but only where your registered representative is also associated with the registered investment advisory firm.
We do not share any information with our affiliates so that they can offer their products and services directly to our clients and customers.
We are permitted by law to disclose nonpublic personal information about you to governmental agencies and other third parties in certain circumstances (such as allowing third parties to perform administrative or marketing services on our behalf or for joint marketing programs). These third parties are prohibited to use or share the information for any other purpose.
Security of Your Information
We restrict access to your nonpublic personal information to those employees who need to know that information to service your account. We maintain physical, electronic and procedural safeguards that comply with applicable federal or state standards to protect your nonpublic personal information.
Departing investment adviser and registered representatives may take nonpublic information about a client or customer with them to their new firm, unless the client or customer objects. We understand the importance of the personal relationship between an adviser or representative and his or her clients and customers. However, if you wish to prevent your adviser or representative from taking nonpublic personal information to the new firm, please “opt out?by following the instructions on the attached form.
Departing Representatives in Affirmative Consent States
If you live in California, Maine, Massachusetts, New Mexico, North Dakota or Vermont, a departing investment advisor and/or registered representatives may not take nonpublic information about a client or customer with them to their new firm, unless the client or customer affirmatively consents in writing. If you wish to permit your advisor or representative to take nonpublic personal information to the new firm, please “opt in?by following the instructions on the attached form.
Our policy about obtaining and disclosing information may change from time to time. We will provide you notice of any material change to this policy before we implement the change.