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As required by the Securities and
Exchange Commission and the Federal Trade Commission,
the Privacy Policy below explains our handling of the
information that we have in our records that is personal
and private to you. It reiterates our commitment to
keeping that information private.
Information We Collect
In the course of doing business
with you, we collect nonpublic information about you
from the following sources:
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Information we receive from you
on applications or other forms, such as your social
security number, personal financial information,
occupation, and birth date;
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Information about your
transactions with us, our affiliate, or others such
as payment history, account balance, assets, and
past transactions with us; and
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Information we collect from you
through your account inquiries by mail, e-mail, or
telephone.
Disclosure of Information to
Nonaffiliated Third Parties
We do not disclose any nonpublic
personal information about our customers or former
customers to any nonaffiliated third parties, except
with prior consent or as permitted by law. Disclosures
permitted by law include information to our service
providers, such as transfer agents, custodians,
shareholder communications firms, technology
consultants, clearing firms, and certain broker-dealers.
As a rule, we only provide this information to those
entities whose services are necessary for us to properly
fulfill our investment services to you. We only share
with these service providers the information they need
to provide these services and they are required to use
this information only to provide the services.
Disclosure of Information to
Affiliates
Helmsman Financial Group, LLC, is
affiliated with Miller Rieke Whitsell & Co. P.S., CPA’s
and Herb Sprute Inc., CPA. We may share your personal
information with these affiliates for the purpose of
professional advice as it pertains to taxation or other
professional service questions. Such personal
information will not be shared with our affiliates for
any other purpose, such as marketing or other business
activities. Neither we nor our affiliate shares any of
this information with any other entities.
Security Standards
We maintain physical, electronic,
and procedural safeguards to ensure the integrity and
confidentiality of your nonpublic personal information
in the manner described above.
Disclaimer
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