TYPES OF NON-PUBLIC PERSONAL INFORMATION WE COLLECT
We collect non-public personal information about you that is provided to us by you or obtained by us with your authorization. Some of this information includes, but is not limited to:
• Your applications or forms (name, address, Social Security, Driver’s License number, Birth Date, assets and income); and
• Transactional activity in your account(s) (for example, trading history and balances).
PARTIES TO WHOM WE DISCLOSE INFORMATION
For current and former clients, we do not disclose or sell any non-public personal information obtained in the course of our practice as required or permitted law. With proper authorization from you, the permitted disclosures include, for instance, providing information to unrelated third parties who need information to assist us in providing services to you (i.e. attorneys and CPA’s). In all such situations we have permission from you and we stress the confidential nature of information being shared.
PROTECTING THE CONFIDENTIALITY AND SECURITY OF CURRENT AND FORMER CLIENTS’ INFORMATION
Upon their association with Adams Financial Concepts, each employee must sign an Employee Confidentiality Agreement which outlines the Firm’s policies for safeguarding propriety information and which provides for sanctions should the employee violate the Agreement. These forms are kept in each employee’s personnel folder maintained by the Office Manager.
This material provided in this site is for information purposes only and should not be used or construed as an indicator of future performance, an offer to sell, or a solicitation of an offer to buy nor recommend any security, nor shall any security be offered or sold to any person, in any jurisdiction in which such an offer, solicitation, purchase, or sale would be unlawful under the securities laws of such jurisdiction.
A Registered Investment Adviser or Registered Investment Adviser agent may only transact in a particular state after licensure or satisfying qualification requirements of that state, or only if they are excluded or exempted from the state’s Registered Investment Advisor agent requirements, as the case may be.
Follow-up, individualized responses to consumers in a particular state by the Registered Investment Adviser, or the Registered Investment Adviser agent that involve either the effecting or attempting to effect transactions in securities or the rendering of investment advice for compensation, as the case may be, shall not be made without first complying with the state’s Registered Investment Adviser or Registered Investment Adviser agent requirements, or pursuant to an applicable state exemption or exclusion.
For information concerning the licensure status or disciplinary history of a Registered Investment Adviser, or Registered Investment Adviser agent, a consumer should contact his or her state securities law administrator.
Pursuant to the Securities Act Policy Statement – 20: We are currently registered in certain states of the U.S, currently Washington, California, and Oregon. Please note that before any business transaction, we must ensure that we are in compliance with the registration regulations in the state where you reside. The registration process can be completed easily by us if necessary, and at that point, we may conduct business.