The Wealth Management Institute Ltd. recognizes the importance of protecting your privacy and the confidentiality and security of our customers personal account information. We hold all personal information provided to our firm in the strictest of confidence. We do not disclose information to non-affiliated 3rd parties except as permitted by law.
Information We Collect In connection with providing investment products, financial advice, or other services, we obtain nonpublic personal information about you that is needed to serve you and administer our business, including:
- Information we receive from you on account applications, Personal Financial Data Forms, and other forms
- Information about your transactions with us or others; and
- Information received from other third parties.
Information We Disclose We will not disclose information regarding you or your account with us except under the following circumstances:
- To establish or maintain an account with an unaffiliated third party, such as insurance, mutual fund, and retirement companies and their clearing brokers,
- To our broker/dealer, American Portfolios Financial Services
- To other financial/legal professionals as specifically authorized by you,
- To government entities or other third parties in response to subpoenas or other legal process as required by law.
We carefully select the companies that provide support services to our Firm and the financial institutions with whom we have marketing agreements. These companies are contractually required to adhere to our strict standards of information security and confidentiality. We do not disclose any non-public personal information about our customers or former customers to any 3rd party except as permitted by law.
Our Security Policy Only those individuals who have a business or professional reason for knowing, and only to non-affiliated parties as permitted by law are authorized to have access to confidential client information. We maintain physical, electronic, and procedural security measures that comply with applicable state and federal regulations to safeguard confidential client information.
Closed or Inactive Accounts If you decide to close your account(s) or become an inactive customer, we will adhere to the privacy policies and practices as described in this notice.
If you have any questions concerning this Privacy Notice, please contact Cameron Bell MAS, CFP, and Executive Director of the Wealth Management Institute Ltd. at (301) 926-7276 x101.
FORM ADV PART 2 OFFER
Pursuant to the SEC Brochure Rule 204-3, of the Investment Advisers Act of 1940, all Registered Investment Advisor Firms (like WMI) are required to offer a copy of the Form ADV, Part 2 or an equivalent document to every advisory client on an annual basis. This letter serves to fulfill the annual offer requirement. WMI’s Form ADV, Part 2 provides important information about WMI’s advisory services such as the types of services offered, the adviser’s fee schedule, disciplinary information, conflicts of interest, and the educational and business background of management and key advisory personnel of the adviser. If you wish to receive a copy of WMI’s latest version of this document, please contacting Lauren Pizzuto at email@example.com or 800.223.0292 x104.