We are committed to safeguarding your confidential information because mutual trust
is essential to a successful relationship. Your personal privacy is extremely important
to you. To that end, below is our policy for handling your personal information.
We welcome any questions or concerns you may have regarding your personal privacy.
We collect non-public information from you, our client, to assist us in giving you
appropriate investment advice and in managing your investments. "Nonpublic personal
information" is nonpublic information about you that we obtain in connection with
providing a financial product or service to you for personal, family, or household
purposes. It does not include information available from government records, widely
distributed media, or government mandated disclosures. The categories of nonpublic
information that we collect from you depends on the scope of your engagement. We
collect nonpublic personal information about you from the following potential sources:
We do not disclose non-public, personal information about our clients or former
clients to anyone else except as otherwise permitted or required by law. For example,
we are permitted by law to share information about you with:
We do not provide your personally identifiable information to direct marketers or
independent solicitors (for other companies) for any purpose.
While the securities industry considers you clients of USA Financial Securities®,
we understand that a relationship exists between you and your financial adviser
as a result of many meetings and personal, financial conversations. Accordingly,
when and if your representative leaves USA Financial Securities®, we permit him
or her to take your account information to his or her new broker-dealer in order
to continue servicing your account. However, if you do not want us to allow your
representative to take your personal, non-public information, you may contact us
at (888)407)8198 and opt-out of this provision. If you have any questions regarding
this provision, you may also contact us at the number above.
If you decide to close your account(s), we will continue to adhere to the privacy
practices described in this policy, once you become a former client. You become
a former client when your Client Services Agreement is terminated. We will maintain
personally identifiable information about you during the time you are a client,
and for any time thereafter that we are required to maintain the records by federal
and state securities laws. After this required period of record retention, all of
your information will be destroyed.
We take reasonable steps to assure the security of client information. We restrict
access to nonpublic, personal information about you to those employees who have
a business or professional reason for knowing, as permitted by law. We maintain
an office and computer environment reasonable designed to help ensure that your
information is not placed at unreasonable risk of disclosure or theft. We have designed
reasonable physical, electronic, and procedural safeguards to help protect your
nonpublic, personal information.
Broker Dealer & RIAMember FINRA/SIPC
Formulaic TrendingMoney Management
Turnkey AssetManagement Platform
Insurance & AnnuityDistribution
Multimedia MarketingConsulting & Technology
Compliance Guidance &Practice Management