Sullivan & Serwitz is committed to safeguarding the confidential information of its clients. We hold all personal information provided to our firm in the strictest confidence. This includes all personal information that we collect from you in connection with any of the services provided by Sullivan & Serwitz. We do not disclose information to nonaffiliated third parties.
If we were to change our policy, we would be prohibited under the law from doing so without advising you first. As you know, we use health and financial information that you provide us to formulate the advice we provide you on strategies to help you meet your personal financial goals, while guarding against and remaining sensitive to infringements of your rights of privacy.
Our policy with respect to personal information about you is as follows:
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. (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.)
We maintain a secure office and computer environment to ensure that your information is not placed at unreasonable risk.
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, about your health to the extent that it is needed for the planning process, or transactions between you and third parties and possibly 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 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. After this required period of record retention, all such information will be destroyed in accordance with industry standards.
Please call our office with any questions or concerns.