Welcome to Synergy Capital Management, LLC! Your relationship with Synergy Capital Management, LLC is based on trust, confidence and integrity.
You deserve to expect that Synergy Capital Management, LLC will protect the information you have provided us in a manner that is safe, secure and professional.
During the financial planning and investment management process, Synergy Capital Management, LLC will obtain non-public personal information about our clients, including identity information, securities transactions and financial information. We are committed to safeguarding all information from current, former and potential clients, and hold all information provided to the firm in the strictest of confidence.
We do not disclose information to non-affiliated third parties (such as brokerage firms, credit card or insurance companies) except as required by law, or in carrying out the duties for which we have been retained. We use your information in helping you achieve your personal financial goals, while guarding against any real or perceived infringement of your rights of privacy. We are committed to protecting your privacy and to safeguarding that information.
Our policy with respect to your information is as follows:
- We maintain a secure office and computer environment to ensure that your information is not placed at unreasonable risk.
- Access to your information is limited. Only employees and agents who have a business or professional reason for knowing your information are allowed access.
- We limit employee and agent access to information only to those who have a business or professional reason for knowing, and only to nonaffiliated third parties as permitted by law. (For example, federal regulations permit us to share a limited amount of information about you with a brokerage firm in order to execute securities transactions on your behalf, or so that our firm can discuss your financial situation with your accountant or lawyer.).
- The categories of nonpublic personal information that we collect from a client depend upon the scope of the client engagement. It will include information about your personal finances, information about your health to the extent it is needed for the planning process, information about transactions between you and third parties, and information from consumer reporting agencies.
- For nonaffiliated third parties that require access to your personal information, including financial services companies, consultants, and auditors, we also require strict confidentiality in our agreements with them and expect them to keep this information private. Federal and state regulators also may review a firm’s records as permitted by law.
- We do not provide your personally identifiable information to mailing list vendors or solicitors.
- Personally identifiable information about you will be maintained during the time you are a client, and for the required time thereafter that such records are required to be maintained by federal and state securities laws, and consistent with the CFP Board Code of Ethics and Professional Responsibility. After this required period of record retention, all such information will be destroyed.