Financial West Group considers
the confidentiality of client information a top priority. At this time, we want you to know how we
protect personal information we obtain from you or other sources in the course
of providing you with investment products and services.
Most, if not all, the
personal information that we have about you comes directly from you. Your Representative records information that
you provide, such as your name and address, financial information, investment experience,
occupation and address of employer, birth date, social security number, e-mail
address, phone number, etc. We also keep
and maintain records of your account history.
We may also collect personal information from outside sources, including
consumer reporting agencies and CRD (Central Registration Depository) if you
are, or were, associated with the securities industry.
It is our policy not to disclose
any personal information to non-affiliates who might use your personal
information to contact you about their own products and services. We educate our employees to protect your
personal information. At Financial West
Group, your personal information is available only to those individuals who are
involved in servicing your financial needs or in supervisory activities. Your Representative will use your personal
information to help evaluate your financial situation and establish appropriate
investment objectives. In addition, Financial
West Group maintains physical, electronic, and procedural safeguards that
comply with applicable laws and regulations to protect your personal
information.
Under certain circumstances, we
may, as permitted by law, provide personal information to our service
providers, regulatory or governmental entities, or other entities at your
instruction, such as National Financial Services LLC, our clearing firm. A copy of their privacy policy may be found
at http://www.nationalfincancial.com. In all circumstances, Financial West Group
will take reasonable measures to ensure the privacy of your personal
information.
Finally, should your relationship
with Financial West Group end, your personal information will remain protected
in accordance with our privacy policies as outlined in this notice.
You may ask to see or obtain a
copy of any personal information we have in our records. If any of the information is believed to be
incomplete or inaccurate, you may request that we make any necessary and
appropriate changes. Please send any
requests to:
Financial West
Group
Attn: Privacy
Policy Department
We hope that you have found this information helpful. If you have any questions or would like more
information, please contact your Representative.
In accordance with a National Association of Securities
Dealers, Inc. (NASD) Investor Education and Protection
Rule, we are providing the following information:
A copy of an investor brochure that includes information
concerning the NASDR Public Disclosure Program can be obtained by calling the
Public Disclosure Hotline or keying in on the NASDR Web site.