Information We Collect
GWM collects personal information as part of our relationship to you, to provide client services and fulfill legal and regulatory requirements. The type of information GWM collects may include:
- Information GWM receives from you on forms (such as name, address, Social Security number, profile documents, assets and income);
- Information you provide GWM directly about your personal finances or personal circumstances or which GWM may receive from brokerage statements or other information you authorize GWM to receive.
Information Disclosed In Administering Products and Services
GWM will not disclose personal information about current or former clients to non-affiliated third parties except as permitted or required by law. GWM does not sell any personal information about you to any third party. GWM will not disclose personal information without your authorization, except as required or permitted by law.
Your Choice to Limit Marketing By Our Affiliate(s)
You may limit our affiliates from marketing their products or services to you based on information that we share with them, such as your income and your account history.
Your decision to limit marketing offers from our affiliates will apply for 5 years. Once that period expires, you will be allowed to extend your decision.
This limitation does not apply in certain circumstances, such as if you currently do business with one of our affiliates or if you ask to receive information or offers from them.
Procedures to Protect Confidentiality and Security of Your Personal Information
GWM has procedures in place that limit access to personal information to those employees who need to know such information in order to perform business services. In addition, GWM maintains physical, electronic and procedural safeguards to guard your nonpublic personal information.
Additionally, a current Form ADV is available in our office. Please contact us if you would like a copy.