We are committed to safeguarding the confidential information of our clients. We hold all personal information provided to our firm in strict confidence. These records include all personal information we collect from you in connection with any of the services we provide. We do not disclose information to non-affiliated third parties, except as required by law. We use the information provided by you to help you meet your financial goals. Our policy with respect to personal information is described below.
We collect non-public, personal information about you from the following sources: information we receive from you on applications or other forms, information you provide to us when you opt-in to receive SMS messages from us, and information about your transactions with us and our affiliates, which we obtain in the process of servicing your account. We do not disclose any non-public, personal information about our clients to anyone except as follows: 1.) when required by law or securities industry regulation, 2.) when legally required to do so (such as in response to a subpoena), 3.) to prevent fraud or a crime, or 4.) to comply with a legally permitted inquiry by a government agency or a regulator. When non-public information is shared with a third party, they are not permitted to release, use, or transfer any customer information to any other party for their own purposes.
Additional Disclosure
- We do not provide personal information to mailing list vendors or solicitors for any purpose.
- We maintain a secure office and computer environment to ensure that your personal information is not placed at unreasonable risk.
- Employees are regularly trained on privacy and information security and on their obligation to protect customer information.
- You can opt-out of receiving SMS messages from us at any time by replying “STOP” to any message you receive. You can also contact your financial advisor or call us at (704) 377-0261 to manage your preferences.
If you have any questions regarding the safekeeping of your personal information please contact your financial advisor or call us at (704) 377-0261. Thank you for letting Bragg Financial Advisors help you with your planning and investing.