Summit Financial Strategies, Inc. maintains physical, electronic, and procedural safeguards that comply with Federal standards to protect its clients’ nonpublic personal information. Through this policy and its underlying procedures, Summit attempts to secure the confidentiality of customer records and information and protect against anticipated threats or hazards to the security or integrity of customer records and information.
It is our policy to restrict access to all current and former clients’ information to those employees and affiliated and nonaffiliated entities that need the information to provide products or services to further client engagements. Examples of information and records covered by our policy include those pertaining to personal background, investment objectives, financial situation, tax information and returns, investment holdings, account numbers, and account balances. Therefore, Summit may disclose clients’ information:
- To individuals and/or entities not affiliated with Summit, including, but not limited to clients’ other professional advisors and/or service providers that may be engaged by us to further client engagements. For example, advisors and service providers could include clients’ attorneys, accountants, insurance agents, broker-dealers, investment advisors, account custodians, or record keepers.
- As required by judicial or regulatory process, or
- As otherwise permitted in accordance with the parameters of applicable Federal and/or state privacy regulations.
Clients automatically authorize Summit to correspond with nonaffiliated third party service providers when they complete any document (for example, advisory contracts and client information questionnaires) disclosing information for processing and/or transmitting by Summit to begin, continue, or terminate a business relationship. Examples of nonaffiliated third party service providers include clients’ broker-dealers, investment advisors, account custodians, record keepers, and insurance companies.
Should you have any questions regarding the above, please contact Timothy Swain, Chief Compliance Officer.