PRIVACY NOTICE FOR CUSTOMERS OF ASSET ALLIANCE ADVISORS, INC. AND INVESTORS IN COMPANIES MANAGED THEREBY
This Privacy Notice relates to Asset Alliance Advisors Inc., its subsidiaries and its affiliates. We do not disclose nonpublic personal information about our clients/investors or former clients/former investors to third parties other than as described below.
We collect information about you (such as your name, address, social security number, assets and income) from our discussions with you, from documents that you may deliver to us and in the course of providing services for you. We may use this information to provide services to you, to open an account for you, to process a transaction for your account or otherwise in furtherance of our business. In order to service your account and effect your transactions, we may provide your personal information to our affiliates (companies related by common ownership or control– they can be financial and nonfinancial companies) and to firms that assist us in servicing your account and have a need for such information, such as a broker or fund administrator. We generally require third party service providers and financial institutions with which we share any of your information to protect the confidentiality of your information and to use the information only for the purposes for which we disclose the information to them. We do not otherwise provide information about you to outside firms, organizations or individuals except to our attorneys, accountants and auditors and as permitted by law. When you are no longer our customer, we may continue to share your information as described in this notice.
Federal law gives you the right to limit only
• sharing for affiliates’ everyday business purposes – information about your creditworthiness
• affiliates from using your information to market you
• sharing for nonaffiliates to market to you
We restrict access to nonpublic personal information about you to our employees who need to know that information to provide products or services to you. We maintain physical, electronic and procedural safeguards that comply with federal standards to guard your personal information.