Disclosures

 

NOTICE OF PRIVACY POLICY

Congress recently passed the Gramm-Leach-Bliley Act, which deals in part with how financial institutions treat nonpublic personal financial information. Newman Dignan & Sheerar, Inc. (NDS) has always been committed to maintaining customer confidentiality. We appreciate this opportunity to clarify our privacy practices for you as a result of this new law.

  • We do not sell your personal information to anyone.
  • We do not disclose personal information to third parties, unless the following exception applies.
  • We disclose personal information to companies that help us process or service your transactions or account(s), including companies that print and mail your account statements.
  • We collect and use “nonpublic personal information” in order to provide our customers with a broad range of financial products and services as effectively and conveniently as possible.
  • We collect information that you provide to us when you open an account. The information we collect may include name, address, phone number, email address, social security number, and information about your investment interests, account balances, payment history, investments, and investment experience.
  • Once you have an account with us, to administer your account and better serve you, we collect and maintain personal information about your transactions, including balances, positions, and history, and may include your name or other data in internal client files that reflect your activities at NDS.
  • We restrict access to personal information to our employees and agents for business purposes only. All employees are trained and required to safeguard such information.
  • We maintain physical, electronic, and procedural safeguards to guard your personal information.
  • We continue to evaluate our efforts to protect your personal information and make every effort to keep your personal information accurate and up to date.

NEWMAN DIGNAN & SHEERAR, INC.

PRIVACY NOTICE

Newman Dignan & Sheerar, Inc. (referred to as “ND&S”) maintains physical, electronic, and procedural safeguards that comply with federal standards to protect its clients’ nonpublic personal information (“information”).  Through this policy and its underlying procedures, ND&S attempts to secure the confidentiality of customer records and information and protect against anticipated threats or hazards to the security or integrity of customer records and information.

It is the policy of ND&S to restrict access to all current and former clients’ information (i.e., information and records pertaining to personal background, investment objectives, financial situation, tax information/returns, investment holdings, account numbers, account balances, etc.) to those employees and affiliated/nonaffiliated entities who need to know that information in order to provide products or services to the client.  ND&S may disclose the client’s information if ND&S is: (1) previously authorized to disclose the information to individuals and/or entities not affiliated with ND&S, including, but not limited to the client’s other professional advisors and/or service providers (i.e., attorney, accountant, insurance agent, broker-dealer, investment adviser, account custodian, etc.); (2) required to do so by judicial or regulatory process; or (3) otherwise permitted to do so in accordance with the parameters of applicable federal and/or state privacy regulations.  The disclosure of information contained in any document completed by the client for processing and/or transmittal by ND&S in order to facilitate the commencement/continuation/termination of a business relationship between the client and a nonaffiliated third party service provider (i.e., broker-dealer, investment adviser, account custodian, insurance company, etc.), including information contained in any document completed and/or executed by the client for ND&S (i.e., advisory agreement, client information form, etc.), shall be deemed as having been automatically authorized by the client with respect to the corresponding nonaffiliated third party service provider.

ND&S permits only authorized employees and affiliates who have signed a copy of ND&S’s Privacy Policy to have access to client information.  Employees violating ND&S’s Privacy Policy will be subject to ND&S’s disciplinary process.  Additionally, whenever ND&S hires other organizations to provide services to ND&S’s clients, ND&S will endeavor to have them to sign confidentiality agreements and/or the Privacy Policy.

Per Google Adwords Policy we are required to tell you:

  • On this site we may collect your name, address, telephone numbers, and best time to call if we contact you.
  • We use this information to initially contact you.
  • We will not transfer this data to third parties.
  • To modify or delete this personal information or opt out, please e-mail us.

Should you have any questions regarding the above, please contact William Newman, Chief Compliance Officer.