How We Use and Protect Personal Information at Align Wealth Management, LLC
Information We May Collect
We may obtain information, much of which comes directly from you, to provide accurate and appropriate services to you. We also use such information to determine your eligibility for products or services. We may collect identification and contact information, as well as transaction and investment experience information from applications, transactions with others and us, and from outside companies. Examples of the sources and types of information we may collect include:
- Information from applications, registration forms, or other forms, containing your name, address, telephone number, social security number, e-mail address, investment objectives, income, assets, employment information and accounts with others;
- Information regarding your brokerage and/or investment advisory transaction history with us and our service providers, such as clearing firms, reporting services, and/or other companies;
- Information that other companies who assist us in delivering services to you have, such as your name, address, and telephone number.
Information We May Disclose and To Whom We May Disclose Information
Align does not disclose your personal information to companies or organizations not affiliated with us that would use the information we have provided them to contact you about their own products and services.
We may disclose personal information we collect to companies such as brokers, banks, broker/dealers, insurance companies, and investment advisers that we work with to provide services to you in the following types of situations:
- Providing administrative, customer assistance, clearing, operational, or other services;
- Preparing, printing and delivering portfolio management performance reports, confirmation statements and other documents;
- Executing securities transactions;
- Maintaining or developing software for us;
- Financial institutions (such as banks, investment advisors or securities firms) with which we work to provide appropriate services to you.
Disclosures Required By Law
We may also disclose information we collect as required by law. For example, we may disclose information to law enforcement agencies or insurance and securities regulatory agencies.
Instructions on How to Notify Us
For any questions regarding this policy, please call us directly at (405) 607-4820 or write us at 13921 Quail Pointe Drive, Oklahoma City, OK 73134
If you would like to receive a copy of our most recent form ADV Part II please contact us at (405) 607-4820.