Strategic Portfolio Advisors, Inc
PRIVACY NOTICE REGARDING CLIENT PRIVACY AS REQUIRED BY REGULATION S-P &
REGULATION S-AM 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 Strategic Portfolio Advisors, Inc.
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 visits to our website. We store records of the activities on our sites in our web server logs, which automatically capture and save the information electronically. The information we collect 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.
How We Use Information: Information may be used among companies that perform support services for us, such as data processors, technical systems consultants, and programmers, or companies that help us market products and services to you for a number of purposes, such as:
Categories of Information We Disclose: We may only disclose information that we collect in accordance with this policy. Strategic Portfolio Advisors, Inc does not sell customer lists and will not sell your name to telemarketers.
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;
To consumer reporting agencies,
To third parties who perform services or marketing 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 processes 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, 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 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 Strategic Portfolio Advisors, Inc;
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. Strategic Portfolio Advisors, Inc 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
Complaint Notification: Please direct complaints to: Todd Jones at Strategic Portfolio Advisors, Inc., 194 Marina Drive, Suite 202, Long Beach, CA 90803; (562) 430-4872.