Waits Investments, LLC understands that you have entrusted our firm with your personal and financial information and it is our mission to maintain that trust. Our privacy policy applies to “consumers” who are current or former clients of our firm.
We only collect information to help better understand your personal financial situation, provide appropriate recommendations and level of service or to assist in opening an account when called upon. The information we collect may include name, address, phone, email, date of birth, social security number, income tax bracket, financial data and information relative to your investment experience and goals.
We do not sell personal information to anyone. We protect the security and confidentiality of the data we collect and do not disclose personal information to third parties except in the noted limited situations.
We may need to disclose information to companies such as financial institutions or firms that we engage to assist in managing a portfolio, executing a transaction, printing and/or mailing statements, providing audit services, acting in a custodial capacity to your account, etc. We have written agreements with these firms that prohibit them from using your information for their own purpose. We limit their use of information to the performance of the specific service requested and we evaluate their services as necessary.
Our firm may be required to disclose or report personal information in certain circumstances where we believe in good faith that disclosure is required by law or regulation, such as during the normal course of a compliance examination, authentication checks and risk control measures or audits.
Outside of these exceptions we will not share your personal information with third parties unless you have specifically asked us to do so.
We maintain physical, electronic and procedural safeguards to protect your personal information.
We conduct ongoing reviews to protect personal information and make every effort to keep your information accurate and up to date. If you identify an inaccuracy in your personal information or need to make a change to the information we maintain, please contact us so that we may promptly update your records to better serve you.
We will provide notice of changes in our information sharing practices. If at any time in the future it is necessary to disclose any of your personal information in a way that is inconsistent with this policy, we will provide advance notice of the change so that you will have the opportunity to opt out of such disclosure.
