At SYM, protecting your privacy is very important to us. In accordance with federal regulations, SYM is giving you this notice to disclose what nonpublic personal information we collect and how we use it as it pertains to you and your account(s). SYM continues to remain committed to respect the individual privacy of our clients.
Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.
The types of personal information we collect, and share depend on the service offering you have with SYM. This information can include:
- Social Security number, contact information, and assets.
- Account balances and transaction history
- Wire transfer instructions and risk tolerance
All financial companies need to share clients’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their clients’ personal information; the reasons SYM chooses to share; and whether you can limit this sharing.
Trusted Contact Request
With the aging of the U.S. population, financial exploitation of seniors is a serious and growing problem. Regulators strongly encourage providing us with a trusted contact. This is someone you authorize us to reach out to in the event we suspect you are the victim of exploitation, or if we suspect that you may be suffering from dementia or other forms of diminished capacity. Please contact SYM if you would like to add a trusted contact to your accounts.
What We Do
How does SYM protect my personal information? To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.
How does SYM collect my personal information? We collect your personal information, for example, when you
- Open an account or seek advice about your investments.
- Make a wire transfer or direct us to buy securities.
- Enter into an investment advisory contract.
Why can’t I limit all sharing? Federal Law gives you the right to limit only
- sharing for affiliates’ everyday business purposes –information about your creditworthiness
- affiliates from using your information to market to you.
- sharing for non-affiliates to market to you
State laws and individual companies may give you additional rights to limit sharing.
Affiliates – Companies related by common ownership or control. They can be financial and nonfinancial companies. SYM does not have any affiliates.
Non-affiliates – Companies not related by common ownership or control. They can be financial and nonfinancial companies. SYM does not share with non-affiliates so they can market to you.
Joint marketing – A formal agreement between nonaffiliated financial companies that together market financial products or services to you. SYM does not jointly market.
Questions? Any questions regarding SYM’s Privacy Notice should be directed to Crystal Creekmore, Chief Compliance Officer, at (800) 888-7968.
PREPARED BY SYM FINANCIAL ADVISORS – 03/2020