To My Clients:
A. Types of Information I Collect
I may collect certain personal information about you or your business – but only when that information is provided by you or is obtained by me with your authorization. I use that information to complete the work product you request.
Examples of sources from which I collect information include:
- interviews and phone calls with you,
- letters or e-mails from you,
- tax return or financial planning organizers, and
- financial history questionnaires
B. Parties to Whom I Disclose Information
As a general rule, I do not disclose information about my clients or former clients to anyone. However, to the extent permitted by law and any applicable state Code of Professional Conduct, certain nonpublic information about you may be disclosed in the following situations:
- To comply with a validly issued and enforceable subpoena or summons
- In the course of a review of my firm’s practices under the authorization of a state or national licensing board, or as necessary to properly respond to an inquiry or complaint from such a licensing board or organization
- In conjunction with a prospective purchase, sale, or merger of all or part of my practice, provided that I take appropriate precautions (for example, through a written confidentiality agreement) so the prospective purchaser or merger partner does not disclose information obtained in the course of the review
- As a part of any actual or threatened legal proceedings or alternative dispute resolution proceedings either initiated by or against me, provided I disclose only the information necessary to file, pursue, or defend against the lawsuit and take reasonable precautions to ensure that the information disclosed does not become a matter of public record
- To provide information to affiliates of the firm and non-affiliated third parties who perform services or functions for me in conjunction with my services to you, but only if I have a contractual agreement with the other party which prohibits them from disclosing or using the information other than for the purposes for which it was disclosed. (Examples of such disclosures include using an outside service bureau to process tax returns or engaging a records-retention agency to store prior year records.)
C. Confidentiality and Security of Nonpublic Personal Information
Except as otherwise described in this notice, I restrict access to nonpublic personal information about you to other parties who must use that information to provide services to you. Their right to further disclose and use the information is limited by the policies of my firm, applicable law, my Code of Professional Conduct, and nondisclosure agreements where appropriate. I also maintain physical, electronic, and procedural safeguards in compliance with applicable laws and regulations to guard your personal and business information from unauthorized access, alteration, or premature destruction.
Thank you for allowing me to serve you. I value my business and I am committed to protecting you privacy. I hope you view my firm as a trusted advisor and I will work to continue earning your trust. Please call me if you have any questions or if I can be of further service.