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At Glen Eagle Advisors, we believe that maintaining the confidentiality of personal information is part of the trust that our clients place in us. We pledge to vigilantly maintain the privacy of your personal financial information, and use it in a fair and lawful manner. This Pledge explains our privacy commitment. It describes: the non-public personal information we collect about you, why we collect it; when we may share it with others; and where you can receive more information about this policy.
Who is making this Pledge to you? Glen Eagle Advisors, LLC including all of its employees and individual financial advisors who serve you, are making this pledge.
Current and former Glen Eagle Advisor clients are covered by this pledge. In addition, this Pledge covers the personal information of other individuals with whom Glen Eagle Advisors has an existing or prospective relationship where either (a) such protection is required by applicable laws, rules or regulations; or (b) Glen Eagle has made a separate and specific commitment to that effect. In this Pledge "personal information" refers to (a) any information relating to an identified individual, or (b) any "nonpublic personal information."
By law and by corporate policy of Glen Eagle Advisors and our clearing firm, it is important that we collect and maintain accurate information about you. We obtain this information from various account applications and other forms you submit to us, from your business dealings with us, from communications we have with you (including electronic communications) and other interactions, from customer reporting agencies, and other third party sources. This information includes your name, address, email address, telephone number, Social Security or other identification number, income, assets, financial goals, interests, source of funds and investment objectives. We also collect information from your transactions including your securities and other financial transactions, debit and checking transactions, margin and fund transfers.
We use your personal information to help us deliver the best possible service to you. This may include, depending on the nature of your relationship with us, using it to evaluate financial needs; to offer a broad range of products and services (including services provided by Pershing, LLC, certain Mutual Fund and Insurance Companies); deliver integrated financial services; process and service transactions; respond to inquiries and requests; fulfill our obligations to you; verify income, asset and obligation information; resolve disputes, prevent fraud; and perform risk control. Additionally, we may use your personal information to verify your identity, including where applicable, verification in accordance with the USA PATRIOT Act. Where permitted and appropriate, we may also use personal information for Glen Eagle Advisor's marketing and product research and/or development purposes. Additionally, we use personal information to comply with legal and regulatory requirements, and in accordance with applicable laws, rules and regulations. Glen Eagle Advisors does not rent or sell any client or former clients' personal information to any third party. We may transfer some or all of your personal information to nonaffiliated third parties to provide you the products and services you request of us. These nonaffiliated third parties may be financial service providers (such as broker-dealers, banks, mutual fund or insurance companies) or others (such as professional services organizations or other service providers). We may also transfer personal information (a) to government agencies, exchanges and other self-regulatory organizations and regulatory and law enforcement authorities as necessary or required; (b) to other nonaffiliated third parties as requested by you or your authorized representative or as permitted or required by law, rule and/or regulation. These nonaffiliated third parties provide a number of services including but not limited to securities clearing, mailing account statements, helping us verify identity, accounting and legal services, and operating our systems and technology infrastructure. These nonaffiliated third parties are required maintain the confidentiality of this information. Where you have a relationship with an outside service provider through Glen Eagle Advisors (such as a mutual fund or insurance company) we may share your personal information with that provider as necessary to service your account. In those cases where you have a direct contractual relationship with a third party your personal information at that provider will be governed by your agreement with that third party.
We endeavor to (a) keep personal information only for so long as is necessary for business purposes or to meet out legal and regulatory requirements; and (b) keep our records of your personal information current and complete. If you become aware of any discrepancies in your personal information, please notify us and we will make the necessary corrections. In certain locations, applicable law may give you a right to request a copy of the personal information that we have about you. Any such request should be directed in writing as set for below, and should be prominently labeled "Personal Information Access Request." You have the right to instruct us not to share some or all of your information with nonaffiliated third parties. If you instruct us not to share some or all of your information it may prevent us from offering and or continuing to provide you with some products and services. If you would like to limit the sharing of some or all of your information please call us at 866-912-1440 ext 400 or send a letter to us at Glen Eagle Advisors, LLC, Reference: Privacy Pledge, 200 American Metro Boulevard, Suite 114, Hamilton, NJ 08619. When you call or write you will be required to provide your name and account number. Note that we will only limit disclosure of your information to the specific accounts that you specify. Also, if one joint account holder chooses to limit the sharing of information this restriction will apply to that account.
If you have any questions regarding this Pledge or our privacy-related practices, please contact your Financial Advisor. You can also contact us by mail at Glen Eagle Advisors, LLC, Reference: Privacy Pledge, 200 American Metro Boulevard, Suite 114, Hamilton, NJ 08619. « Back to Client Information | Next: Account Protection »
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