Your Privacy
The Investment Center, Inc., (TIC) respects our clients' needs to keep their personal information private. To that end, in accordance with the Securities and Exchange Commission Regulation S-P, TIC has established a policy to keep confidential all nonpublic personal information and records of all current and former clients. Such information includes, but is not limited to, the following: personal background (name, address, email, etc.), investment objectives, financial situation, investment holdings and asset types, account numbers, and Social Security number.
We will access your information only as is necessary to perform those tasks required to properly service your account. Our employees will take every precaution to safeguard your personal information from unauthorized use.
Sharing Your Information
We do not sell, share or disclose your non-public personal information to non-affiliated third marketing companies. In some cases, TIC may disclose some or all of the previously described information. Exceptions to our privacy policy would be for the following reasons: TIC is required to do so by judicial or regulatory process; TIC is otherwise permitted to do so as permitted by law; The client has authorized TIC to disclose such information to individuals and/or entities not affiliated with TIC (including, but not limited to, the client's other professional advisors and/or service providers, such as: attorneys, accountants, insurance agents, broker-dealer, investment adviser, account custodian, etc.).
Certain business relationships may require a client to disclose personal information for processing and/or transmittal by TIC to facilitate the commencement, continuation, or termination of such business relationships between the client and a nonaffiliated third party service provider (i.e., broker-dealer, investment advisor, account custodian, insurance company, etc.). Such information shall be deemed as having been authorized by the client with respect to the corresponding non-affiliated third party service provider. Also, such information contained in any document completed and or executed by the client for TIC (i.e., advisory agreement, client information form, etc,) shall be deemed as having been fully authorized by the client with respect to the corresponding non-affiliated third party service provider as well.
We may disclose non-public personal information about you in connection with the transfer of your account to another financial institution at your request or the request of your representative. If you do not want TIC to disclose your non-public personal information with your representative's new financial institution, please contact us as directed below.
Security Standards
TIC continues to assess new technology to evaluate its ability to provide additional protection of your personal information. We safeguard this information in accordance with federal standards and established security standards and procedures. Measures we take in this regard include implementation of physical, electronic, and procedural safeguards.
Extended Protection for Your Privacy
Each individual and or entity affiliated with TIC is aware of TIC's Privacy Policy, and has acknowledged his, her or its requirement to comply with the policy. In accordance with TIC's Privacy Policy, each such affiliated individual and/or entity shall have access to such information to the extent reasonably necessary for TIC to perform its services for the client, and to comply with applicable regulatory procedures and requirements.
Questions and Opting Out of Third Party Disclosures
Should you have any questions regarding the above or do not want TIC to share your non-public personal information (other than prescribed by law) with any non-affiliated third parties, including your registered representative if he or she leaves TIC to join another financial institution, please contact our compliance department at P.O. Box 770, Bedminster, NJ 07921. 1-800-345-8041.
IC ADVISORY PRIVACY POLICY
At IC Advisory Services, Inc. ("ICA"), we appreciate the trust our customers place in us and we recognize the importance of protecting the confidentiality of nonpublic personal information that we collect about them. The information is used to ensure accuracy in reporting and record keeping, and to carry out requested transactions. It also allows us to make available new products and services that enhance our customers' financial well-being. Keeping this information secure is a top priority for us, and so we share with you our Privacy Policy for our customers.
To that end, in accordance with the Securities and Exchange Commission Regulation S-P, ICA has established a policy to keep confidential all nonpublic personal information and records of all current and former clients. Such information includes, but is not limited to, the following:
- This Privacy Policy applies to consumers who are customers and former customers of ICA. If we change this Privacy Policy, you will be notified in advance.
- We collect nonpublic personal information about customers from the following sources: Information we receive on applications or other forms and correspondence (such as name, address, email address, password, social security number, assets and income); Information about transactions with us, or others (such as securities and cash transactions, payment history, account positions and balances and parties to transactions); and Information we may receive from credit reporting agencies (such as credit worthiness and credit history).
- The nonpublic personal information we collect is safeguarded in accordance with our internal policies and procedures. These policies permit only those employees who need to know the information in order to perform their duties to have access to customer nonpublic personal information. We maintain physical, electronic and procedural safeguards designed to comply with federal standards to guard our customer non-public personal information.
- We may disclose non-public personal information about our customers to non-affiliated third parties with whom we have contracted to perform services on our behalf, such as our clearing firm, investment adviser, account custodian, insurance company, etc. Such information shall be deemed as having been authorized by the client with respect to the corresponding non-affiliated third-party service provider. Also, such information contained in any document completed and/or executed by the client for ICA (i.e., advisory agreement, client information form, etc.) shall be deemed as having been fully authorized by the client with respect to the corresponding non-affiliated third-party service provider. We may disclose all of the information that we collect, as described above, other than passwords.
- We may disclose non-public personal information about you in connection with the transfer of your account to another financial institution at your request or the request of your representative. If you do not want ICA to disclose your non-public personal information with your representative's new financial institution, please contact us as directed below. We may also disclose non-public personal information about our customers as permitted or required by law or by judicial or regulatory process.
Extended Protection for Your Privacy
Each individual and/or entity affiliated with ICA is aware of ICA's Privacy Policy, and has acknowledged his, her or its requirement to comply with the policy. In accordance with ICA's Privacy Policy, each such affiliated individual and/or entity shall have access to such information to the extent reasonably necessary for ICA to perform its services for the client, and to comply with applicable regulatory procedures and requirements.
Questions and Opting Out of Third Party Disclosures
Should you have any questions regarding the above or do not want ICA to share your non-public personal information (other than prescribed by law) with any non-affiliated third parties, including your registered representative if he or she leaves ICA to join another financial institution, please contact our compliance department at P.O. Box 770, Bedminster, NJ 07921. 1-800-345-8041.
