Privacy Policy
Printer Friendly
DownloadEffective 01 April 2009
Collegiate Capital Management, Inc.
Client Privacy Policy
Collegiate Capital Management, Inc. (CCM) values you as a client and respects your right to privacy. We recognize that you have retained our firm for investment advisory services because you believe that this will be a long-term relationship that assists you in meeting your financial goals.
Protecting your privacy has been and will continue to be vital to our business. We want our
clients to understand the types of information we collect and how we use it. By disclosing our
Privacy Policy to you, we hope that you will better understand how we keep our client
information private and secure while using it to serve you better.
Why We Collect Your Information
CCM gathers information about you and your account(s) so that we can (i) confirm your identity
and thereby prevent unauthorized access to your information, (ii) determine your risk tolerance
and establish investment objectives and approaches that are suitable for your portfolio,
(iii) continue to provide quality services, and (iv) comply with the many laws and regulations that
govern our firm.
Confidentiality and Security
We restrict access to ‘nonpublic personal information’ about you to those employees within our
organization who need to know that information in order to provide investment services to you.
Additionally, we maintain physical, electronic and procedural safeguards to ensure your
‘nonpublic personal information’ is treated responsibly and in accordance with federal standards
and regulations and our firm’s Privacy Policy.
What Information We Collect
Nonpublic personal information is information about you that we obtain in order to provide
services to you. We may collect the following types of nonpublic personal information from you:
- Information related to your identity, including but not limited to your name, address, date
of birth, and
social security number; - Information related to your transactions with us; and
- Information provided on account applications, such as your beneficiaries or financial data.
What Information We Disclose
CCM is permitted and, in some cases required by law, to disclose nonpublic personal information
about you to third parties. For example, we may disclose nonpublic personal information about
you to third parties to assist us in servicing your account(s) (i.e., mailing of account related
materials) and to government entities for tax reporting, to satisfy a court order, or to comply with
regulatory agencies assessing our firm’s compliance with industry regulations.
We have an affirmative and continuing obligation to respect client privacy and to protect the
security and confidentially of nonpublic personal information. We will adhere to the privacy
policies and practices as described in this notice even if you decide to close your account(s)
and/or become an inactive client.