At First Independent Financial Services, Inc. and First Independent Advisory Services, Inc.
(collectively “First Independent affiliated companies” or “First Independent”), we value the confidence
you have placed in us to serve your financial needs. In order to maintain your confidence, First Independent
affiliated companies maintain the highest standards of privacy security. We are committed to preserving
the confidentiality of our clients’ personal non-public information ("personal information").
We believe you should understand how we collect and protect your personal information. This Privacy Policy
("Policy") describes our approach to collecting, sharing and protecting the personal information of our prospective,
current and former customers. We hope you will take a moment to familiarize yourself with the measures we take to protect
your most vital personal information.
Information We Collect
The type of personal information we collect and use varies depending on the First Independent products or services you select.
We collect personal information that enables us to serve your financial needs, develop and offer new products and services, and
fulfill legal and regulatory requirements. Depending on the products or services you request, we obtain personal information
about you from the following sources:
- Information, such as your name, address and social security number, provided on applications and other forms we receive from you or your representative;
- Information from your communications with First Independent employees or from your representative, which may be provided to us by telephone or in writing;
- Information about your transactions, such as the purchase and sale of investments or insurance products, account balances and parties to the transactions, which we receive from our affiliates or other third parties.
Sharing of Personal Information
We may share your personal information with our affiliates so that they may process and service your transactions.
However, First Independent affiliated companies never sell customer lists to any third party. Further, we do not disclose
personal information to nonaffiliated third parties, except as required by law or as permitted by law to service your account, such as:
- To third-party service providers that assist us in servicing your accounts (e.g. securities clearinghouses);
- To governmental agencies and law enforcement officials (e.g. valid subpoenas, court orders);
- To financial institutions that perform marketing services on our behalf or with whom we have joint marketing
agreements that provide for the confidentiality of personal information.
