Privacy Policy

This is a copy of our Privacy Policy which is required to send to you on an annual basis. It is to inform you that Registered Investment Advisors, like all providers of personal financial services, are required by the Gramm-Leach-Bliley Privacy Act to inform their clients of their policies regarding privacy of client information. Financial Advisors have been, and continue to be, bound by professional standards of confidentiality that are even more stringent than those required by law. Therefore, we have always protected your right to privacy. We collect non-public personal information about you that is provided to us by you or obtained by us with your authorization. Some of this information includes, but is not limited to:

  • Your applications or forms (name, address, social security, driver’s license number, birth date, assets and income); and
  • Transactional activity in your account (for example, trading history and balances).

For current and former clients, we do not disclose or sell any non-public personal information obtained in the course of our practice as required or permitted by law. With proper authorization from you, the permitted disclosures include, for instance, providing information to unrelated third parties who need information to assist us in providing services to you (i.e. attorneys and CPA’s). In all such situations we have permission from you and we stress the confidential nature of information being shared. We retain records relating to professional services that we provide so that we are better able to assist you with your professional needs and, in some cases, to comply with professional guidelines. In order to guard your non-public personal information, we maintain the highest physical and electronic safeguards that exceed the professional standards required of Registered Investment Advisor’s. Original documents containing client information are kept on premises in areas supervised by Firm personnel. Computers containing customer information are password-protected. On our website, there is neither client information nor access to any of our client’s accounts. Outdated and non-essential draft documents and reports are shredded. Any and all necessary changes to this Privacy Policy are immediately made and our website is updated. Upon their association with Swanson Financial Services, Inc., each employee must sign an Employee Confidentiality Agreement which outlines the Firm’s policies for safeguarding propriety information and which provides for sanctions should the employee violate the Agreement. These forms are kept in each employee’s personnel folder maintained by the Operations Manager.

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