Broker Check

Privacy Policy

We collect personal information including, but not limited to, social security numbers, birth dates, investment account numbers and positions, credit and loan account numbers and balances in connection with our role as your financial advisor. Protecting your privacy and the security of this information is important to us. The following explains the procedures we have instituted to protect your privacy and the limited circumstances under which we may share information.

We collect nonpublic personal information from the following sources:

  • Account applications, questionnaires, tax returns and other documents that you provide to us.
  • Compensation and benefit information that is sent to us, with your permission, by your employer.
  • Investment account statements, transaction confirmations and settlement sheets that you provide or that we receive, with your permission, from third parties.
  • Detailed information about transactions effected on your behalf through Fidelity Institutional Wealth Services (“FIWS”) is sent to us directly by this custodian.
  • Other professional advisors, (i.e. attorneys, accountants, brokers, investment advisors, insurance agents, real estate agents and bankers) may send us various types of financial and personal information, at your request.

We do not disclose any nonpublic personal information about you to “nonaffiliated third parties” unless we are specifically authorized and directed to do so by you, or as required by law. Examples of circumstances in which information may be disclosed to third parties include:

  • As required by local, state, and Federal regulators such as the Securities and Exchange Commission.
  • If you have engaged us to provide investment management services, information is provided to FIWS in connection with the establishment and maintenance of brokerage accounts and execution of transactions on your behalf.
  • At your request, information is provided to government officials, other advisors, brokers, agents, or professionals who provide services and financial products to you.

We do not and will not ever sell or otherwise provide lists containing any personal identifiable information about our clients or former clients to third parties including marketing, direct mail, research or similar organizations.

Trumbower Financial Advisors protects your personal information procedurally and electronically. All employees receive a written copy of the Firm’s “Office Procedures and Policies” and must comply with these policies as a condition of employment. Firm policies prohibit the disclosure of any information about clients or former clients except as authorized by the client and in connection with the delivery of services. Employees must take precautions to protect inadvertent or unauthorized release of information to third parties including document destruction, if appropriate.

Various industry-standard information protection systems are used to safeguard electronic data files. Employees must adhere to data processing procedures designed to avoid unauthorized access to electronic information including strick procedures for password-protection on e-mail attachments containing sensitive information. We also employ outside consultants to periodically review and upgrade our systems.

Please call us if you would like to discuss our privacy policies and procedures. You have the right at anytime to “opt out” of arrangements with us that may involve disclosure of nonpublic personal information about you to nonaffiliated third parties (other that as required by law).