What Does CenterPoint Wealth Management, LLC, Do With Your Personal Information?
Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share and protect your personal information. Please read this notice carefully to understand what we do.
The types of personal information we collect and share depend on the product or service you have with us. This information can include:
Employment and residential information
Social security number
Transaction detail history
Investment objectives, goals, and risk tolerance
When you are no longer a client, we continue to share your information as described in this notice.
All financial companies need to share clients’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their clients’ personal information; the reasons CenterPoint Wealth Management chooses to share; and whether you can limit this sharing.
Everyday Business Purposes
The actions necessary by financial companies to run their business and manage client accounts, such as providing investment advisory and financial planning advice, processing securities transactions, and otherwise providing financial services to you.
Companies related by common ownership or control. They can be financial and nonfinancial companies. CenterPoint Wealth Management does not have any affiliates.
Companies not related by common ownership or control. They can be financial and nonfinancial companies. CenterPoint Wealth Management does not share information with non-affiliates for marketing purposes.
A formal agreement between non-affiliated financial companies that together market financial products or services to you. CenterPoint Wealth Management does not engage in joint marketing with non-affiliates.
|Reasons we can share your personal information||Does CenterPoint Wealth Management share?||Can you limit this sharing?|
|For our everyday business purposes—such as to provide advice, process your transactions, and maintain your account(s)||Yes||No|
|For our marketing purposes—to offer our products and services to you||Yes||No|
|For joint marketing with other financial companies||No||We do not share|
|For our affiliates’ everyday business purposes—information about your transactions and experiences||No||We do not share|
|For our affiliates’ everyday business purposes—information about your creditworthiness||No||We do not share|
|For our affiliates to market to you||No||We do not share|
|For non-affiliates to market to you||No||We do not share|
Contact Us - Call CenterPoint Wealth Management at 317-973-7700
How often does CenterPoint Wealth Management notify me about their practices?
We must notify you about our sharing practices when you become a client and each year while you are a client.
How does CenterPoint Wealth Management protect my personal information?
To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.
How does CenterPoint Wealth Management collect my personal information?
We collect your personal information, for example, when you
establish an investment advisory relationship
contract for financial planning services
open an account or deposit money with custodians
purchase or sell securities with executing broker-dealers
We also collect your personal information from others, such as custodians, broker-dealers, or other companies.
Why can’t I limit all sharing?
Federal law gives you the right to limit sharing only for
affiliates’ everyday business purposes—information about your creditworthiness
affiliates to market to you
non-affiliates to market to you
State laws and individual companies may give you additional rights to limit sharing.