FACTS
WHAT DOES EQUITY ADVISORS, LLC DO WITH YOUR PERSONAL INFORMATION?
Why?
Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.
What?
The types of personal information we collect and share depend on the product or service you have with us. This information can include:
- Social Security Number
- Assets
- Employment Information
- Transaction History
- Checking Account Information
- Risk Tolerance
- Account Balances
- Investment Experience
- Wire Transfer Instructions
When you are no longer our customer, we continue to share your information as described in
this notice.
How?
All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers’ personal information; the reasons the Equity Advisors, LLC chooses to share; and whether you can limit this sharing.
Reasons we can share your personal information | Does Equity Advisors, LLC share? | Can you limit this sharing? |
|---|---|---|
For our everyday business purposes – Such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus | Yes | No |
For our marketing purposes – to offer our products and services to you | Yes | Yes |
For joint marketing with other financial companies | No | We don’t share |
For our affiliates’ everyday business purposes – information about your transactions and experiences | No | We don’t share |
For our affiliates’ everyday business purposes – information about your creditworthiness | No | We don’t share |
For our affiliates to market to you | No | We don’t share |
For nonaffiliates to market to you | No | We don’t share |
For non‐affiliated broker‐dealers to supervise registered representatives that are also investment adviser representatives of Equity Advisors– client account and transaction information | Yes | No |
If your investment advisor representative leaves Equity Advisors, we may allow her/him to take your contact and account information in order to continue providing services to you. | Yes | Yes |
Who we are
Who is providing this notice?
Equity Advisors, LLC
What we do
How does Equity Advisors, LLC protect my personal information?
To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include limiting access to information, computer safeguards, and secured files and buildings.
How does Equity Advisors, LLC collect my personal information?
We collect your personal information, for example, when you
- Open an account
- Seek advice about your investments
- Give us your income information
- Make deposits or withdrawals from your account
- Make a wire transfer
- Enter into an advisory contract with us
- Show your government-issued ID
We also collect your personal information from others,such as credit bureaus, affiliates or other companies.
Why can’t I limit all sharing?
Federal law gives you the right to limit only
- Sharing for affiliates’ everyday business purposes – information about your creditworthiness
- Affiliates from using your information to market to you
- Sharing for nonaffiliates to market to you State laws and individual companies may give you additional rights to limit sharing.
Definitions
Affiliates
Companies related by common ownership or control. They can be financial and nonfinancial companies.
– Equity Advisors, LLC has affiliated companies.
Nonaffiliates
Companies not related by common ownership or control. They can be financial and nonfinancial companies
– Equity Advisors, LLC does not share with nonaffiliates, so they can market to you.
Joint marketing
A formal agreement between nonaffiliated financial companies that together market financial products or services to you.
– Equity Advisors, LLC does not jointly market.
Other Important Information
California
Pursuant to California law, we will not share information we collect about you with companies outside of Equity Advisors, unless the law allows. For example, we may share information with your consent, to service your accounts. We will limit sharing among our companies to the extent required by California law.
Vermont
Pursuant to Vermont law, we will not disclose information about your creditworthiness and will not disclose your personal information, financial information, credit report, or health information to nonaffiliated third parties to market to you, other than as permitted by Vermont law, unless authorized by you to make those disclosures.