Protection of your privacy is a top priority;
Your account information and all documents you provide to us are protected in a secure environment;
We only collect personal information in order to accomplish our customer commitments to you;
Information about you is only used and shared in limited and controlled ways; and,
In the event that we wish to share information about you with non-affiliated third parties, you will be given options concerning what information may be shared, and your privacy wishes will be respected. You may also choose to opt out of any information sharing.
We collect personal information about you from these sources:
GWM's Customer Account Form, applications for the purchase of various products, and other forms;
Product vendors, as a result of your transactions with us; and/or,
Depending on the product you are requesting to purchase, information received from consumer reporting agencies, medical providers or others.
We collect the following types of personal information:
Contact information and other personal identifies, such as name, postal address, email address, phone number, social security number or tax identification number.
Demographic and family information, such as date of birth, marital status, dependents, beneficiaries, citizenship and information about related parties to an account.
Financial, professional and educational information such as investment objectives & experience, assets, income, expenses, net worth, tax status, holdings, transaction history, employment information and background.
We use personal information for the following purposes:
Assisting in Identifying you as our customer or our former customer
Offering and providing products and services, including opening accounts, communicating with you, providing investment recommendations, and making suitability determinations;
Complying with applicable regulatory and legal require (for example, client identification program and know your customer requirements)
We may disclose the following categories of information to entities that perform administrative services on our behalf or as required or permitted by law for legal, regulatory, or other purposes:
Information you provide directly to us on the Customer Account Form, applications or other forms;
Information we receive about your transactions with us or with our product providers; and/or,
If required for the products you purchase, information received from other agencies such as: consumer reporting agencies concerning your creditworthiness, motor vehicle and driver's license reports, medical and employment information, and loss reports.
We may disclose information about you to:
Our staff, affiliates, representatives, their affiliated businesses, and third parties who provide you with financial products and services.
Nonaffiliated third parties which may include retirement plan sponsors or third-party administrators, mutual fund companies, insurance companies and agencies, other broker-dealers, and clearing firms.
A special note about medical or health information: While we might receive medical or health information from you at the time of application for various types of insurance, we do not use it or share it - internally or externally - for any purpose other than what is directly related to the administration of your policy, account, or claim, as required or permitted by law, or as you authorize us to do.
California Residents: The California Consumer Privacy Act (CCPA) provides California residents with rights to receive certain disclosures regarding the collection, use and sharing of “Personal Information” as well as rights to know/access, delete and limit sharing of “Personal Information”. As a financial services organization, much of the information we collect is exempt from the CCPA because it is covered by federal or state privacy laws, such as the Gramm-Leach-Bliley Act.
The CCPA defines Personal Information to mean “information that identifies, relates to, describes, is reasonably capable of being associated with or could reasonably be linked, directly or indirectly, with a particular consumer or household. We do not sell your Personal Information; however, as described in this policy, we do disclose information about you to third parties who provide you with financial products and services.
To the extent that we collect Personal Information that is subject to the CCPA, you have the right to request access to Personal Information we have collected about you in the preceding 12 months, the purposes for which we collected it and the categories of third parties with whom we shared it. Additionally, you have the right to request in certain circumstances that we delete any Personal Information that we have collected directly from you; however, there may be certain exceptions as defined in the CCPA that prevent or limit our ability to comply with your request.
To submit a request to exercise your right to access or delete your Personal Information under the CCPA, please call us at 1-888-812-5043 or submit a written request to us at: Geneos Wealth Management Attention Compliance – CCPA request 9055 E Mineral Cir., Ste 200 Centennial, CO 80121
All requests are subject to a verification process. Request by an authorized agent are subject to additional documentation requirements as described below.
Verification Procedures – In order to process your request to access or delete Personal Information we collect; we must verify your request. We do this by requesting that you verify personal identifiers, such as your name, address, date of birth, account number that we have previously collected from you. Requests by Authorized Agent – You may authorize another individual or business to make requests on your behalf. We require that you provide legal documentation confirming the identity and authority of an authorized agent to act on your behalf. Such documentation may include but is not limited to, a power of attorney, court documents (letters of testamentary, guardianship documents), or notarized statements. GWM pledges to work to protect the security of your confidential information.
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Securities and investment advisory services offered through Geneos Wealth Management, Inc. Member FINRA/SIPC. See our Privacy Statement.
Licensed Insurance Professional. We are an independent financial services firm helping individuals create retirement strategies using a variety of investment and insurance products to custom suit their needs and objectives. This material has been prepared for informational and educational purposes only. It is not intended to provide, and should not be relied upon for, accounting, legal, tax or investment advice. 18911 - 2019/5/24
Investing involves risk, including the loss of principal. No Investment strategy can guarantee a profit or protect against loss in a period of declining values. Any references to protection benefits or lifetime income generally refer to fixed insurance products, never securities or investment products. Insurance and annuity products are backed by the financial strength and claims-paying ability of the issuing insurance company.