SAGEVEST WEALTH MANAGEMENT
PRIVACY NOTICE
Maintaining the confidentiality and security of the personal information of our current and prospective investors is one of our highest priorities. This notice sets forth the type of personal information we collect, how that information is used by us, and how we protect your personal information.
Categories of Personal Information We Collect
SageVest collects some or all of the following categories of personal information from individuals:
- Identifiers, such as name, contact details and address (including physical address, email address and Internet Protocol address), and other identification (including social security number, passport number and drivers’ license or state identification card number);
- Other customer records, such as telephone number, signature, bank account number, other financial information (including accounts and transactions with other institutions and anti-money laundering information), and verification documentation and information regarding clients’ status under various laws and regulations (including social security number, tax status, income and assets);
- Protected classification characteristics under state or federal law, such as date of birth, citizenship and birthplace;
- Commercial information, such as account data and other information contained in any document provided by clients to authorized service providers (whether directly or indirectly), risk tolerance, transaction history, investment experience and investment activity; and
- Internet or other electronic network activity information, such as information regarding your use of our website and client portal (e.g., cookies, browsing history and/or search history), as well as information you provide to us when you correspond with us in relation to inquiries.
Purposes for Collecting Personal Information
We may collect or share the personal information we collect about you for one or more of the following business or commercial purposes:
- performing services for you, including but not limited to:
- the administrative processes (and related communication) in preparing for account opening and closing and the processing of transactions;
- ongoing communication with you, your representatives, advisors and agents;
- ongoing operations, administrative, accounting, reporting, account maintenance and other processes and communication required to invest, reinvest and otherwise monitor your assets;
- keeping you informed about our business;
- auditing and verifications related to client interactions, including but not limited to, verifying the quality and effectiveness of services and compliance;
- detecting security incidents, protecting against malicious, deceptive, fraudulent, or illegal activity; and
- complying with U.S., state, local and non-U.S. laws, rules and regulations.
Necessary Professional Sharing of Information
SageVest shares the above information when necessary to support client account activities and professional financial services on behalf of our clients. This includes sharing with financial institutions who are the custodians of client investment accounts and with other financial professionals with whom the client works, such as the client’s accountant, attorney, or insurance agent. Personal information is never shared with any organization or professional with whom the client does not have a financial relationship, unless the client is actively establishing an account with a new financial institution such as Charles Schwab.
Deletion Rights
You have the right to request that we delete any of your personal information that we retain, subject to certain exceptions, including, but not limited to, our compliance with U.S., state, local and non-U.S. laws, rules and regulations.
Sale of Information
We do not sell any client personal information to third parties.
Disclosure and Access Rights
You have the right to request that we disclose to you certain information regarding our collection, use, disclosure and sale of personal information.
No Discrimination
We will not discriminate against you for exercising your rights, including by denying service, suggesting that you will receive, or charging, different rates for services or suggesting that you will receive, or providing, a different level or quality of service to you.
How to Exercise Your Rights
To exercise any of your rights under applicable privacy laws, or to access this notice in an alternative format, please submit a request in writing to SageVest Wealth Management.
We will contact you to confirm receipt of your request and request any additional information necessary to verify your request. We verify requests by matching information provided in connection with your request to information contained in our records. Depending on the sensitivity of the request and the varying levels of risk in responding to such requests (for example, the risk of responding to fraudulent or malicious requests), we may request additional information in order to verify your request. You may designate an authorized agent to make a request on your behalf, provided that you provide a signed agreement verifying such authorized agent’s authority to make requests on your behalf, and we may verify such authorized person’s identity using the procedures above.
*Some state laws give residents additional rights to limit sharing. Under these laws, we may not be able to share information about minors who are of a certain age.
PRIVACY NOTICE SUPPLEMENT:
Clients who are residents of California, Colorado, Delaware, Florida, Maryland, Montana, North Carolina, New Jersey, Oregon, Texas, or Virginia may request to be placed on our “do not call” list at any time by contacting the state as outlined below.
California: The Office of the California Attorney General at P.O. Box 944255, Sacramento, CA 94244; phone (916) 210-6276.
Colorado: The Office of the Attorney General, Colorado Department of Law at 1300 Broadway, 10th Floor, Denver, CO 80203; phone (720) 508-6000.
Delaware: The Office of the Attorney General, 820 N. French St., Wilmington, DE 19801; phone (302) 577-8400; email attorney.general@delaware.gov.
Florida: The Office of the Attorney General, PL-01 The Capitol, Tallahassee, FL 32399-1050; phone (866) 966-7226.
Maryland: The Office of the Attorney General, 200 St. Paul Place, Baltimore, MD 21202; phone (888) 743-0023; email consumer@oag.state.md.us.
Montana: The Office of the Attorney General, 215 N Sanders, Third Floor, PO Box 201401, Helena, MT 59620-1401; phone (406) 444-2026; contactdoj@mt.gov.
North Carolina: The Office of the Attorney General, 9001 Mail Service Center, Raleigh, NC 27699-9001; phone (919) 716-6400.
New Jersey: The Office of the Attorney General, 140 East Front Street, 6th Floor Trenton, NJ 08625-0090; phone (609) 292-4925.
Oregon: The Office of the Attorney General, 1162 Court St. NE, Salem, OR 97301-4096; phone (503) 378-4400; email AttorneyGeneral@doj.oregon.gov.
Texas: The Office of the Attorney General, P.O. Box 12548, Austin, TX 78711-2548; phone (512) 463-2100.
Virginia: The Office of the Attorney General, 202 North Ninth Street, Richmond, VA 23219; phone (804) 786-2071.
Massachusetts and Vermont Supplement Notice