CLIENT PRIVACY NOTICE
This explains the manner in which Apexium Financial LP may collect, use and maintain nonpublic personal information about you and the precautions that we take to maintain and secure such information.
What kind of personal information do we have about you and where did we get it?
We may collect the following nonpublic personal information about you:
- Your name, address, social security number, family and marital status, investment objectives, financial goals, risk tolerance, and information about your income, assets, investments, liabilities, expenses and personal financial transactions; and
- Client Information from other sources: For investment advisory and financial planning services, we may collect trading and transaction history for your investment advisory account, and statements or records we receive from investment firms, tax preparations firms, and other professionals that you have retained and authorized to provide information directly to us.
We collect nonpublic personal information about you from the following sources:
- Subscription forms, investor questionnaires and other information provided by you in writing, in person, by telephone, electronically or by any other means; and
- Transactions between you and broker dealers/investment advisers, including account balances, investments and withdrawals/redemptions.
When do we disclose your personal information?
We may disclose nonpublic personal information about you as permitted or required by law and in the following circumstances:
- In connection with a proposed or actual sale, merger or transfer of all or a portion of our business;
- To protect or defend against fraud, unauthorized transactions (such as money laundering), law suits, claims or other liabilities;
- To service providers in connection with the administration and operations of your account or portfolio which may include attorneys, accountants, auditors, administrators, or other professionals;
- To investment funds or securities in which we invest in connection with anti-money laundering examinations;
- To process or complete transactions requested by you; and
- Upon your consent to release such information, including authorization to disclose such information to persons acting in a fiduciary or representative capacity on your behalf.
How do we protect your personal information?
We maintain physical, electronic, and procedural safeguards that comply with federal standards to safeguard your nonpublic personal information. In addition, within our organization, we restrict access to nonpublic personal information about you to those employees and agents of Apexium Financial LP who need to know that information in the course of their job responsibilities.
What about former clients and investors?
This Privacy Notice applies to former clients and investors.
Additional Information. In the event that we plan to disclose nonpublic personal information about you to a nonaffiliated third party, prior to any such disclosure we will give you notice and an opportunity to “opt-out” of the disclosure. We reserve the right to change this Privacy Notice at any time. The examples contained within this notice are illustrations and are not intended to be exclusive. This notice complies with recently enacted federal law regarding privacy. You may have additional rights under other applicable foreign or domestic laws.