Whitney Financial Strategies, LLC - Privacy Policy

 

Whitney Financial Strategies is dedicated to protecting your privacy and providing the highest level of service. Your privacy and confidentiality is paramount to our firm and we want you to understand how we protect your information.

 

How We Protect Client Information:

 

Keeping financial information secure is our responsibility and our commitment to you:

 

• We protect client information through physical, electronic, contractual, and procedural measu es that comply with or exceed applicable laws and standards.
• We tra n our employees to protect client information and only authorize access for employees who we believe have a business need for that information. Employees are held accountable by our Code of Conduct and Ethics (as described in the CFP® code of professional conduct) to properly protect client information, which includes standards to protect customer confidentiality.
• We maintain processes that provide for the proper physical security of workspaces and records.
• We require contractors and other companies that provide services on our behalf to protect information and we prohibit those companies from using it for any other purpose. We limit the information to these companies to the information that we believe is necessary to fulfill their responsibilities or to deliver a financial service to you.
  
  • Other contractors and companies include the following providers:
    
    • Trade execution, billing, and custodial service
    • Risk tolerance analysis technology
    • Financial planning software
    • E-mail server
    • Online payments
    
    
    
    
  • Other advisors may work with our clients including CPAs and Estate attorneys. All of our firm’s employees are required to get client permission to provide other advisors with confidential information prior to giving this information to other professional advisors, etc. All advisors are required to be vetted prior to recommendation and sign a non-disclosure confidentiality agreement between themselves or their firm and our firm. Referred advisors are constantly monitored for performance of confidentiality contractual agreement.
  
  
  
  

 

Our policy for e-mail transmission and electronic communications:

 

• E-mails containing sensitive client information will be sent though encrypted messages only. A password will be sent in a separate e-mail to assure additional protections.
• Electronic soft-copies of client documents (Applications, Transfer Forms and Account Statements, etc...) and information about clients accounts are to be transmitted through our trade platform provider who then provides the documents and trade information with our clearing firm. All of this information is transmitted through secure direct channels. The trade and custody providers have been audited under a SSAE 16 engagement. This engagement is performed by an independent auditing firm and examines the controls and processes involved in storing and handling data securely. The audit yielded a clean opinion and no exceptions were noted during testing demonstrating that the service provider policies, procedures, and infrastructure for data protection, security, and confidentiality met or exceeded the stringent SSAE 16 criteria.

 

Disclosing nonpublic personal information about a consumer to nonaffiliated third parties:

 

• Unless certain notice and opt-out requirements have been met, we do not share any information.
• We currently do not have any sharing agreements or share information with any nonaffiliated third parties.