Golden Gate Financial Group, LLC ("Golden Gate") recognizes and respect the privacy expectations of our clients¹ and the trust we hold. We provide this notice to you so that you will understand what kinds of information we collect and the circumstances in which that information may be disclosed.
Collection of Client Information
We may receive and collect nonpublic personal information about our clients from the following sources:
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Account Applications, client profiles and other forms, which may include a client's name, address, social security number, and financial information about a client's investment goals and risk tolerance; |
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Account History, for example, copies of confirmations or statements which may include information about investment transactions or the balances in a client's account; |
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Information you direct or authorize us to obtain from third-party advisers or custodians (including investment, legal, insurance or other financial advisers, or brokerage houses, banks or asset custodians) and; |
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Correspondence, written, telephonic or electronic between a client and Golden Gate |
Disclosure of Client Information
We do not disclose any personal or financial information about our clients or former clients without your express authorization or direction, except as provided by law, under valid process or as required in response to inquiries from governmental authorities. In these instances, we attempt to provide prompt notice of the legal disclosure, subpoena or governmental authority inquiry, and to consult with you where practicable on an appropriate response.
Golden Gate may share client information with affiliates and may share client information with each other. In addition, we may disclose any of the client information we collect to third parties who are not affiliated with Golden Gate:
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To effect or administer transactions at your request (such as to brokers, other financial, legal, insurance or investment advisers, or custodians) also providing services to you. However, any such disclosure will be only as permitted by law and only as reasonably necessary for Golden Gate or such third parties to provide the agreed services to you or; |
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We may also provide such information to your other legal and financial advisers, as you may direct. |
Security of Client Information
Golden Gate maintains policies and procedures designed to assure only appropriate access to, and use of client information and physical, electronic and procedural safeguards to protect nonpublic personal information of clients of Golden Gate.
We will adhere to the policies and practices described in this notice regardless of whether you are a current or former client of Golden Gate.
¹ For purposes of this notice, the terms "client" or "clients" includes both individuals who acquire products or services from Golden Gate Financial Group, LLC and individuals who provide nonpublic personal information to, but do not acquire products or services from Golden Gate Financial Group, LLC.
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