Privacy Policy & Practices of The Getzen Group Inc. Investment Advisor
The Getzen Group Inc. is a registered investment adviser in the state of Arizona. We have always valued the trust our customers have placed in us and are committed to the responsible management, use, and protection of our customers’ personal information. We are proud of our privacy and confidentiality practices, and we want you to know how we protect your information and use it to service your account(s).
Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some, but not all, sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.
Gathering information
The Getzen Group Inc. collects personal information about you to help us serve your financial needs, process transactions in your account(s), provide customer service, offer services, and fulfill legal and regulatory requirements.
The Getzen Group Inc. collects nonpublic personal information from you, as well as from other sources. The sources and the information collected may include:
- Information you provide to us, to our affiliated entities or non affiliated business partners, custodians, clearing firms, broker dealers and or insurance companies on applications and related forms, through discussions with our customer service staff, or on our website, such as address, social security number, birth date, net worth, assets, income, and medical information, if applying for insurance.
- Information regarding your transaction history with us, or products or services purchased through other entities or financial service firms, account balances, trading history, and payment history, as well as information from information service companies and consumer reporting agencies, such as your transactions or credit relationships with unaffiliated third parties
- Information from other unaffiliated third parties, including employers, associations, benefit plan sponsors, and other institutions, if you transfer positions or funds to a custodian or, broker dealer and or clearing firm that The Getzen Group uses to help manage your accounts such as address, social security number, net worth, assets, and income, and account numbers.
Sharing information
The Getzen Group Inc. may disclose any of the nonpublic personal information that we collect about you, as required to conduct our business and as permitted or required by law. We may share information about our customers with any of our affiliated companies or non affiliated business partners or prospective business partners, if any and/or with unaffiliated financial or non financial services providers, such as insurance companies, broker/dealers, investment advisors, mutual fund companies, banks, investment firms, third-party administrators, clearing firms, retirement plan sponsors, and other third parties who assist us in obtaining business or providing account maintenance or customer service to your account(s). In addition, we may share some or all of the information we collect with other financial institutions with whom we have joint marketing agreements. Furthermore, we also may share your information with auditors, regulators, and law enforcement organizations or in response to a subpoena or discovery request, as permitted or required by law.
We do not sell, share, or disclose your nonpublic personal information to unaffiliated third-party marketing companies.
If the IAR (Investment Advisor Representative) servicing your account(s) leaves The Getzen Group Inc. to join another financial institution, or enters into affiliation with a another broker dealer concurrently with he or she’s affilation with The Getzen Group Inc. the IAR may retain copies of your personal information so that he or she can continue to serve you at the new firm, broker dealer, clearing firm and or new custodian. In doing so, your IAR and or the Getzen Group Inc. may share your information with the new firm(s) but is otherwise required to keep confidential the personal information obtained from you while the advisor was affiliated with The Getzen Group Inc. and he or she may only use it to service your account(s).
Opting in.
If you live in an “opt-in” state, where we are required to obtain your affirmative consent to share your nonpublic personal information with unaffiliated third parties who do not currently assist us in servicing your account or conducting our business, your advisor is required to obtain your consent before your advisor can take your information with him or her should your advisor leave The Getzen Group Inc. Please note: You can withdraw your consent at any time by contacting our firm at 800 437 5598
Opting out.
If you do not want your IAR to take your information with him or her should your advisor decide to leave The Getzen Group Inc. in the future, you have the right to opt out of such disclosure. If you have a joint account, we will treat an opt-out direction by a joint customer as applying to all associated joint customers. If you wish to opt out, now or at any time in the future, please contact our Compliance department by phone at 800 437 5598 or by mail at The Getzen Group Inc. 8300 N Hayden Rd Ste 207, Scottsdale AZ 85258.
Cookies
Cookies are very small files placed onto the hard drive of your computer the first time you visit our website that enable our server to recognize who you are the next time you come back. Contrary to popular belief, cookies do not extract private or personal information from your computer’s memory; rather, they record only information relating to your visit to our site. The Getzen Group Inc. uses cookies to track usage of the website and to address security issues. We may also use cookies to store your preferences relating to use of our website. If you do not want to allow our website to place a cookie on your computer, you can change your browser’s settings to deny cookies; however, this may affect your experience with certain features of our website.
Safeguarding privacy
The Getzen Group Inc. recognizes the need to prevent unauthorized access to the information we collect, including information held in electronic format. The Getzen Group Inc. authorizes access to your nonpublic personal information only to parties with whom we have executed confidentiality/nondisclosure agreements and who need that information to serve you or to assist us in conducting our operations. We maintain physical, electronic, procedural, and contractual safeguards regarding your nonpublic personal information to ensure that we comply with our own policy, industry practices, and federal and state regulations. And we train our employees in the proper handling of sensitive information. If you decide to close your account(s) or become an inactive customer, we will adhere to the privacy policies and practices as described in this notice.
Questions
You do not have to contact us to benefit from The Getzen Group Inc. privacy protections; they apply automatically to all of our customers and former customers. If you have any questions after reading this privacy policy, however, we encourage you to contact your IAR or to write to The Getzen Group Inc. Attention Privacy Management 8426 E Shea Blvd, Scottsdale AZ 85259.