PWM is now The Retirement Planning group. www.planningretirements.com
Privacy Policy
Parrott Wealth Management, LLC has adopted this privacy policy, recognizing that protecting the privacy and security of the personal information we obtain about our customers is an important responsibility. We also know that you expect us to service you accurately and efficiently.
To do so, we must collect and maintain your personal information. We want you to know what information we collect and how we use and safeguard that information.
Information We Collect: We collect nonpublic information about you ("Customer Information").
Collecting customer information is essential to allow us to provide you with advisory services.
Customer Information we collect may include:
• Information that you provide on applications or other forms. This Customer Information may
include personal and household information such as income, spending habits, investment
objectives, financial goals, statements of account, and other records concerning your financial
condition and assets, together with information concerning employee benefits and retirement
plan interests, wills, trusts, mortgages, and tax returns.
• Identifying your name, age, address, social security number, etc.
• Information about your transactions with us or others (e.g., broker-dealers, clearing firms, or
other chosen investment sponsors).
• Information we receive from consumer reporting agencies (e.g., credit bureaus), as well as
other various materials we may use to provide an appropriate recommendation or to fill a
service request.
Security of Your Information: We restrict access to your nonpublic personal information to those
employees who need to know that information to service your account. We maintain physical,
electronic, and procedural safeguards that comply with applicable federal or state standards to protect your nonpublic personal information.
Information We Disclose: We do not disclose the nonpublic personal information we collect about our customers to anyone except (i) in furtherance of our business relationship with them and then only to those persons necessary to effect the transactions and provide the authorized services (such as broker-dealers, custodians, independent managers, etc.); (ii) to persons assessing our compliance with industry standards (e.g., professional licensing authorities, consultants, etc.); (iii) our attorneys, accountants, and auditors; or (iv) as otherwise provided by law.
We can, by law, disclose nonpublic personal information about you to governmental
agencies and other third parties in certain circumstances (such as those that perform
administrative or marketing services on our behalf or for joint marketing programs). These third parties are prohibited to use or share the information for any other purpose.
Former Clients: If you decide to close your account(s) or become an inactive customer, we will adhere to our privacy policies, which we can amend.
Changes to Our Privacy Policy: Except as required or permitted by law, we do not share confidential information about you with non-affiliated third parties. Suppose there were to be a change in this fundamental policy that would permit or require additional disclosures of your confidential information. In that case, we will provide written notice to you, and you will be allowed to direct us on whether such disclosure is acceptable.
Questions: If you have questions about this privacy notice or the privacy of your customer information, call our main number, 512-922-4429, and ask to speak to the Chief Compliance Officer.
©2012 National Compliance Services 800-800-3204
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