Stevens Wealth Management LLC, an independent financial planning and asset management firm, is committed to safeguarding the confidential information of its current and former clients. We hold all personal information provided to our firm in the strictest confidence. These records include all personal information that we collect from you in connection with any of the services provided by Stevens Wealth Management LLC. We have never disclosed information to nonaffiliated third parties, except as permitted by law, and do not anticipate doing so in the future. If we were to anticipate such a change in firm policy, we would be prohibited under the law from doing so without advising you first. As you know, we use financial information that you provide to us to help you meet your personal financial goals while guarding against any real or perceived infringements of your rights of privacy. Our policy with respect to personal information about you is listed below.
- We limit employee and agent access to information only to those who have a business or professional reason for knowing, and only to nonaffiliated parties as permitted by law or authorized by you in writing. (For example, federal regulations permit us to share a limited amount of information about you with a brokerage firm in order to execute securities transactions on your behalf, or so that our firm can discuss your financial situation with your accountant or lawyer.)
- When the firm is managing more than one account for a client’s family, we will be deemed to have authority to disclose and discuss information regarding any and all accounts pertaining to that family unit with any account holder unless specifically agreed upon otherwise.
- We maintain a secure office and computer environment to ensure that your information is not placed at unreasonable risk. When clients records are disposed of, it is our policy to either shred client documents or destroy information contained within electronic media.
- We shall notify you, at no charge, if there has been a breach of the security of our information data system following discovery of the breach. The disclosure notification shall be made in the most expedient way possible and without delay after the breach. The notification may be done by written or electronic notice. The disclosure notification shall include but not be limited to: i) informing the owner of the data (the client) that a breach has occurred along with the date or approximate date of the breach, ii) informing the client of the nature of the breach, and iii) informing the client of the steps the adviser has taken or plans to take relating to the breach.
- The categories of nonpublic personal information that we collect from a client depend upon the scope of the client engagement. It will include information about your personal finances, information about your health to the extent that it is needed for the planning process, information about transactions between you and third parties, and information from consumer reporting agencies.
- For unaffiliated third parties that require access to your personal information, including financial service companies, consultants, and auditors, we also require strict confidentiality in our agreements with them and expect them to keep this information private. Federal and state regulators also may review firm records as permitted under law.
- We do not provide your personally identifiable information to mailing list vendors or solicitors for any purpose.
- Personally identifiable information about you will be maintained during the time you are a client, and for the required time thereafter that such records are required to be maintained by federal and state securities laws, and consistent with the CFP Board Code of Ethics and Professional Responsibility. After this required period of record retention, all such information may be destroyed.
We at Stevens Wealth Management LLC take seriously the obligation to safeguard client information. Please feel free to contact Stevens Wealth Management LLC at (847) 282-9910 or firstname.lastname@example.org should you have any questions concerning this policy.