Effective: June 3, 2021
WHY YOU NEED TO KNOWRegistered Investment Advisors (“RIAs”) must share some of your personal information in the course of servicing your account. Federal and State laws give you the right to limit some of this sharing and require RIAs to disclose how we collect, share, and protect your personal information. What information do we collect from you?
WHAT INFORMATION DO WE COLLECT FROM YOU?
- Driver’s license number
- Social security or taxpayer identification number
- Name, address and phone number[s]
- E-mail address[es]
- Account information (including other institutions)
- Date of birth
- Assets and liabilities
- Income and expenses
- Investment activity
- Investment experience and goals
WHAT INFORMATION DO WE COLLECT FROM OTHER SOURCES?
- Custody, brokerage and advisory agreements
- Other advisory agreements and legal documents
- Transactional information with us or others
- Account applications and forms \Investment questionnaires and suitability documents
- Other information needed to service account
HOW DO WE PROTECT YOUR INFORMATION?To safeguard your personal information from unauthorized access and use we maintain physical, procedural and electronic security measures. These include such safeguards as secure passwords, encrypted file storage and a secure office environment. Our technology vendors provide security and access control over personal information and have policies over the transmission of data. Our associates are trained on their responsibilities to protect Client’s personal information.We require third parties that assist in providing our services to you to protect the personal information they receive from us.
HOW DO WE SHARE YOUR INFORMATION?An RIA shares Client personal information to effectively implement its services. In the section below, we list some reasons we may share your personal information.
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MARKETING PURPOSESYour non-public personal information may be disclosed to you and persons that we believe to be your authorized agent[s] or representative[s].
AUTHORIZED USERSYour non-public personal information may be disclosed to you and persons that we believe to be your authorized agent[s] or representative[s].
INFORMATION ABOUT FORMER CLIENTSJourney does not disclose and does not intend to disclose, non-public personal information to non-affiliated third parties with respect to persons who are no longer our Clients.