Per SEC Regulation S-P, NWIM has adopted policies in order to safeguard the personal information of the firm’s clients, their families, their business, and other related entities. The following is our policy adopted in compliance with this regulation:
IN ACCORDANCE WITH SEC REGULATION S-P SECTION 248.13
At Nequit Wealth & Investment Management, we are committed to protecting your privacy. Listed below is our standard policy on how we handle your personal information.
In order to conduct regular business, we may collect non-public (or public) personal information about you from sources such as:
Information provided by you (Investment Advisory Agreement) or other forms you provide to us
Information about your transactions with us, or your bank/brokerage firm
Bank/brokerage custodial statements
To provide the utmost in service, we may disclose information regarding your account, as necessary, to financial institutions to perform certain services on our behalf, to companies with whom we have marketing agreements, auditing agreements, or as required by law. When we share your non-public information with companies that perform services for us, such information may only be used for the limited purpose for which it was shared. In addition, these companies are required to adhere to our privacy standards. We may disclose the information below regarding your account:
Information Nequit Wealth & Investment Management, LLC receives from clients Investment Advisory Agreement (name, social security number- required to open brokerage accounts)
Information Nequit Wealth & Investment Management, LLC receives from custodial statements (account balances)
This statement is for informational purposes only and requires no action on your part. None of the above information reflects a change in the way we do business or handle your personal information. The confidentiality of the data you have provided our firm is and always has been a fundamental part of our professional code of conduct.