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SYM Financial Advisors’ Privacy Policy

Home SYM Financial Advisors’ Privacy Policy

SYM Commitment

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.

Why?

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.

What?

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

How?

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.

Reasons we can share
your information

Does SYM
share?

Can you limit
this sharing?

For our everyday business purposes –
such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, etc.
SYM does not disclose any nonpublic information about you without your express consent, except as permitted by federal law and as needed to provide services you have requested. This applies to current and former clients.

Yes

No

For our marketing efforts –
to offer our products and services to you

No

N/A
Sym does not share

For joint marketing with other financial companies

No

N/A
Sym does not share

For our affiliates’ everyday business purposes –
information about your transactions and experiences

No

N/A
Sym does not share

For our affiliates’ everyday business purposes –
information about your creditworthiness

No

N/A
Sym does not share

For non-affiliates to market to you

No

N/A
Sym does not share

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 give 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.

Definitions

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.

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