APPLETON PARTNERS, INC.
PRIVACY POLICY STATEMENT
Our clients' privacy is very important to us and is a top priority for us at Appleton. We have a responsibility to our clients to maintain the highest level of confidentiality and discretion. We have prepared a short description of our policies regarding disclosure of nonpublic personal information that our clients provide to us, or that they authorize us to collect from other sources.
This information includes, but is not limited to, name, address, telephone number, social security number and date of birth. Also, we collect information about client transactions with us, our affiliates, or others, including, but not limited to, client account number, securities holdings, transactions, cost basis information, and other financial information.
We do not sell, exchange or share client information with outside organizations unless the third party is essential in administering our operations. For example, we work with various custodians and brokerage firms to administer our clients' accounts and execute transactions.
We will limit the collection and use of our clients' information to the minimum we require to deliver service, which includes advising clients about our products, services and other opportunities, and to administer our business.
Client information is accessible only by authorized employees. Our employees are trained and responsible to protect the confidentiality of client information. We maintain appropriate safeguards regarding client information. This includes use of security procedures to prevent revealing client information to inappropriate or unauthorized sources.
Other than as we explained above, we do not reveal specific information about our clients or their accounts to unaffiliated third parties, with the following exceptions.
- If the client requests it.
- If the information is required by law (for example, a subpoena or court order to produce records regarding the client's account). In such instances, information provided is limited to that required by the specific law.
- If the information is required by an auditor or examiner for the purpose of completing an audit or regulatory examination.
- To make available the products or services that are offered by a third party who is under contract to provide these services. These companies or vendors must agree to respect the privacy of any client information provided and not to disclose the information to any third party, except as required or permitted by law.
If you should have any questions regarding our Privacy Policy Statement, please do not hesitate to call us at 800-338-0745.
Back to Top