PRIVACY NOTICE REGARDING CLIENT PRIVACY
Maintaining the trust and confidence of our client 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 SUGARLOAF WEALTH MANAGEMENT, LLC.
Information We Collect: In connection with providing investment products, financial advice, or other services, we obtain nonpublic personal information about you, which may include:
• Information we receive from you on applications, such as your address, date of birth, social security number, occupation, financial goals, assets, and income;
• Information received from credit or service bureaus or other third parties, such as your credit history or employment status.
Categories of Parties to Whom We Disclose: We will not disclose information regarding you or your account with us, except to the parties listed below and under the following circumstances:
• To entities that perform services for us or function on our behalf, including financial service providers, clearing broker-dealers, custodians, investment companies, insurance companies or
• 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 attorney, accountant, or auditors; and
• 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 do not sell customer lists or customer information to third parties.
How We Use Information: Information may be used by the companies that perform support services for us such as data processors, 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 our clearing broker-dealer Triad Advisors.
• 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.
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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 procedural security measures to safeguard confidential client information.
Complaint Notification: Please direct complaints to SUGARLOAF WEALTH MANAGEMENT, LLC.
If you reside part-time in a state that requires your affirmative consent before we provide your nonpublic personal information to certain third-parties, we obtain such consent as required.