2nd Story Wealth Planners (“2ndSWP”) recognizes that our relationships with current and prospective clients are based on integrity and trust. We work hard to maintain your privacy and to preserve the private nature of our relationship with you. We place the highest value on the information you share with us. 2ndSWP will not disclose your personal information to anyone unless it is required by law or at your direction. We will not sell your personal information.
We want our clients to understand what information we collect, how we use it, and how we protect your personal information.
Why We Collect Your Information
We gather information about you so that we can:
- Help design and implement the investment and financial planning related services we provide you; and
- Comply with the Federal and State laws and regulations that govern us.
What Information We Collect and Maintain
We may collect the following types of “nonpublic personal information” (“NPI”) about you:
- Information from our initial meeting or subsequent consultations about your identity, such as your name, address, social security number, date of birth, and financial information;
- Information that we generate to service your financial needs; and
- Information that we may receive from third parties in connection with the services we provide you.
What Information We Disclose
We are permitted by law to disclose nonpublic information about you to unaffiliated third parties in certain circumstances. 2ndSWP may disclose client's NPI: (1) to individuals and/or entities not affiliated with 2ndSWP, including, but not limited to third-parties that assist in the supervision or management of your account(s) (i.e., sub-advisers, account custodian, record keeper, attorney, etc.); (2) to service providers contracted by us in order for us to perform the duties in furtherance of the client's engagement with 2ndSWP (i.e. client management systems, archiving technology vendors, cloud service providers, etc.); (3) to your authorized representative or power of attorney; (4) when we receive your prior consent; (5) in connection with a proposed or actual sale, merger, or transfer of all or a portion of our business; and (6) as otherwise permitted to do so in accordance with the parameters of applicable federal and/or state privacy regulations.
In the event that 2ndSWP has a change to its client privacy policy that would allow it to disclose non-public information not covered under applicable law, 2ndSWP will allow its clients the opportunity to opt-out of such disclosure.
“Opting-Out” of Third Party Disclosures: If you do not want your Financial Planner/Financial Adviser to retain copies of your client sensitive information when he or she leaves us to join another firm, you may contact us by calling 215-714-7144.
Otherwise, 2nd Story Wealth will not disclose any personal information about you or your account(s) unless one of the following conditions are met:
- We receive your prior written consent; or
- We have documentation that the recipient is your authorized representative; or
- We are required by law to disclose information to the recipient
- Arrangements with companies or independent contractors not affiliated with 2nd Story Wealth will be subject to confidentiality agreements.
- If you receive text messages from us, you may opt out of receiving further text messages from us by replying STOP to our message.
How We Protect Your Personal Information
Privacy has always been important to 2ndSWP. We restrict and limit access to client information only to those who need to carry out their business functions. We safeguard client information by preventing its unauthorized access, disclosure, or use. We maintain physical, electronic, and procedural safeguards to protect your confidential personal information. Arrangements with companies or independent contractors not affiliated with 2ndSWP will be subject to confidentiality agreements and/or Privacy Policy.
By providing a telephone number and submitting this form you are consenting to be contacted by SMS text message. Message & data rates may apply. You can reply STOP to opt-out of further messaging.
Changes To This Privacy Policy
We reserve the right to modify this Privacy Policy at any time. If we make material changes to this Privacy Policy, we will notify you by updating the date of this Privacy Policy and posting it on the Service. If required by law, we will also provide notification of changes in another way that we believe is reasonably likely to reach you, such as via email or another manner through the Service. Any modifications to this Privacy Policy will be effective upon our posting the modified version (or as otherwise indicated at the time of posting). In all cases, your continued use of the Service after the posting of any modified Privacy Policy indicates your acceptance of the modified Privacy Policy.
Former Clients
Even if we cease to provide you with financial services, our Privacy Policy will continue to apply to you, and we will continue to treat your nonpublic information with strict confidentiality. We maintain all records regarding all former clients for the retention period required by law.
Contact Us
Clients are encouraged to discuss any questions regarding privacy policies and procedures directly with Nicole Carson, Chief Compliance Officer of 2ndSWP. Please contact Nicole Carson at (215) 714-7144.