Maintaining the trust and confidence of our clients is a high priority. That is why we want you to understand how we protect your privacy when we collect and use information about you, and the steps that we take to safeguard that information. This notice is provided to you on behalf of Chatterton & Associates, The Wealth Management Team, Inc.
Information We Collect: In connection with providing investment products, financial advice, or other services, we obtain non-public personal information about you, including:
- Information we receive from you on account applications, such as your address, date of birth, Social Security Number, occupation, financial goals, assets and income;
- Information about your transactions with us, our affiliates, or others;
- Information received from credit or service bureaus or other third parties, such as your credit history or employment status.
Categories of Information We Disclose: We may disclose all information that we collect. Chatterton & Associates and its affiliates do not sell customer lists and will not sell your name to telemarketers.
Categories of Parties to Whom We Disclose: We will not disclose information regarding you or your account with us, except under the following circumstances:
- To your authorized Financial Advisor and his or her manager; Chatterton & Associates permits Financial Advisors and Investment Advisers that terminate their affiliation with Chatterton & Associates to make copies of their client files;
- To our parent company, Royal Alliance Associates, Inc., or their affiliates, to the extent permitted by law;
- To entities that perform services for us or function on our behalf, including financial service providers, such as a clearing broker-dealer, investment company, or insurance company;
- To consumer reporting agencies,
- To third parties who perform services or marketing on our behalf;
- To your attorney, trustee or anyone else who represents you in a fiduciary capacity;
- To our attorneys, accountants or auditors;
- To government entities or other third parties in response to subpoenas or other legal process as required by law or to comply with regulatory inquiries;
- We may disclose non-public personal information about you in connection with the transfer of your account to another financial institution at your request or the request of your advisor. If you do not want Chatterton & Associates to disclose your non-public personal information with your advisor’s new financial institution, please contact us as directed below.
How We Use Information: Information may be used among the Non-Affiliated companies that perform support services for us, such as data processing, technical systems consultants and
programmers, or companies that help us market products and services to you for a number of purposes, such as:
- To protect your accounts from unauthorized access or identity theft;
- To process your requests such as securities purchases and sales;
- To establish or maintain an account with an unaffiliated third party, such as a clearing broker-dealer providing services to you, Trust Attorney, Tax Preparer and/or Chatterton & Associates;
- To service your accounts, such as by issuing checks and account statements;
- To comply with Federal, State, and Self-Regulatory Organization requirements; and
- To keep you informed about financial services of interest to you.
Regulation S-ID: Regulation S-ID requires our firm to have an Identity Theft Protection Program (ITPP) that controls reasonably foreseeable risks to customers or to the safety and soundness of our firm from identity theft. We have developed an ITPP to adequately identify and detect potential red-flags to prevent and mitigate identity theft.
Our Security Policy: We restrict access to nonpublic personal information about you to those individuals who need to know that information to provide products or services to you and perform their respective duties. We maintain physical, electronic, and procedural security measures to safeguard confidential client information.
Complaint Notification: Please direct complaints to: Chatterton & Associates, The Wealth Management Team, Inc., 3061 E. La Palma Ave., Anaheim, CA 92806, Telephone: (714) 572-2050.
Limitations to Sharing Customer Information: You can limit or opt-out of information shared about you at any time. If you do not want us to share your non-public information, please contact us immediately.
Contact Information: You may notify us of any questions or concerns, by one of the following methods:
Chatterton & Associates, The Wealth Management Team, Inc.
3061 E. La Palma Ave. Anaheim, CA 92806