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Privacy Policy

Facts
Definitions
Reasons we can share your personal information
Sharing Practices 
 


 

FACTS: What Does CenterPoint Wealth Management, LLC, Do With Your Personal Information?

Why? 
Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share and protect your personal information. Please read this notice carefully to understand what we do. 

What?
The types of personal information we collect and share depend on the product or service you have with us.  This information can include:

  • Income
  • Employment and residential information
  • Social security number
  • Cash balance 
  • Security balances 
  • Transaction detail history 
  • Investment objectives, goals, and risk tolerance 

When you close your account, we continue to share information about you according to our policies.  

How?
All financial companies need to share clients’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their clients’ personal information; the reasons CenterPoint Wealth Management chooses to share; and whether you can limit this sharing. 

Please Note: If you are a new client, we do not share your personal information other than to provide services or as otherwise legally required. When you are no longer our client, this policy continues to apply to you.

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Definitions

Everyday Business Purposes  The actions necessary by financial companies to run their business and manage client accounts, such as providing investment advisory and financial planning advice, processing securities transactions, and otherwise providing financial services to you. 
Affiliates CenterPoint Wealth Management does not have affiliate entities.
Non-Affiliates CenterPoint Wealth Management does not share information with non-affiliates for marketing purposes.
Joint Marketing CenterPoint Wealth Management does not engage in joint marketing with non-affiliates.


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Reasons we can share your personal information Does CenterPoint Wealth Management share? Can you limit this sharing?
For our everyday business purposes—such as to provide advice, process your transactions, and maintain your account(s) Yes No
For our marketing purposes—to offer our products and services to you No We do not share
For joint marketing with other financial companies No We do not share
For our affiliates’ everyday business purposes—information about your transactions and experiences No We do not share
For our affiliates’ everyday business purposes—information about your creditworthiness No We do not share
For our affiliates to market to you No We do not share
For non-affiliates to market to you No We do not share

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Sharing Practices

How often does CenterPoint Wealth Management notify me about their practices? We must notify you about our sharing practices when you open an account and each year while you are a client.
How does CenterPoint Wealth Management protect my personal information? To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.
How does CenterPoint Wealth Management collect my personal information?

We collect your personal information, for example, when you

  • establish an investment advisory relationship 
  • contract for financial planning services 
  • open an account or deposit money with custodians 
  • purchase or sell securities with executing broker-dealers
We also collect your personal information from others, such as custodians, broker-dealers, or other companies.  
Why can’t I limit all sharing?

Federal law gives you the right to limit sharing only for

  • affiliates’ everyday business purposes—information about your creditworthiness 
  • affiliates to market to you 
  • non-affiliates to market to you
State laws and individual companies may give you additional rights to limit sharing.  


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