Edgar Investment Management LLC
PRIVACY NOTICE REGARDING CLIENT PRIVACY
IN ACCORDANCE WITH REGULATION S-P
Maintaining the trust and confidence of our clients is a high priority. That is why we want you to understand how we protect your privacy when we collect and use information about you, and the steps that we take to safeguard that information.
Information We Collect: In connection with providing investment products, financial advice, or other services, we obtain non-public personal information about you, including:
Information we receive from you on account applications, such as your address, date of birth, Social Security Number, occupation, financial goals, assets and income;
Information about your transactions with us, our affiliates, or others; and
Information received from credit or service bureaus or other third parties, such as your credit history or employment status.
Categories of Information We Disclose: We may, as described below, disclose all information that we collect. Edgar Investment Management LLC and its affiliates do not sell customer lists and will not sell your name or information to telemarketers.
Categories of Parties to Whom We Disclose: We will not disclose information regarding you or your account with us, except under the following circumstances:
To your authorized Representative and his or her manager;
To our parent companies or their affiliates, to the extent permitted by law;
To entities that perform services for us or function on our behalf, including financial service providers, such as a clearing broker-dealer, investment company, or insurance company;
To your attorney, trustee or anyone else who represents you in a fiduciary capacity;
To our attorneys, accountants or auditors; and
To government entities or other third parties in response to subpoenas or other legal process as required by law or to comply with regulatory inquiries.
How We Use Information: Information may be used among companies that perform support services for us, such as data processors, technical systems consultants and programmers, or companies that help us market products and services to you for a number of purposes, such as:
To protect your accounts from unauthorized access or identity theft;
To process your requests such as securities purchases and sales;
To establish or maintain an account with an unaffiliated third party, such as a clearing broker-dealer providing services to you and/or Edgar Investment Management LLC;
To service your accounts, such as by issuing checks and account statements;
To comply with Federal, State, and Self-Regulatory Organization requirements;
To keep you informed about financial services of interest to you.
Complaint Notification: Please direct complaints to: L. Scott Edgar, Managing Member & Chief Compliance Officer, Edgar Investment Management LLC, 28 Tyson Ct., Danville, CA 94526; Phone: (925) 323-4931.