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Security & Privacy

Post Oak Private Wealth Advisors is committed to safeguarding the confidential information of our clients because mutual trust is essential to the advisor-client relationship. Personal privacy is of our utmost importance to our clients. The following is our policy that describes how we treat your personal information. We welcome any comments or concerns.

INFORMATION WE COLLECT FROM YOU

We collect non-public information from you, our client, to assist us in giving you appropriate investment advice. We collect non-public information about you from the following sources:

  • Information we receive from you on customer information/suitability forms, custody firm applications, clearing firm documents, annuity applications, or other forms, such as your name, address, date, and location of birth, marital status, gender, social security number, medical information, beneficiary information, investment goals, etc.
  • Information about your transactions with us or others such as investment amounts and types, deposit histories, tax information, accounting information, etc.

THIRD PARTIES WITH WHOM WE MAY SHARE INFORMATION

We do not disclose non-public information about our clients or former clients to anyone except as otherwise permitted by law. For example:

  • We may provide non-public information that we collect to non-affiliated persons or entities involved in the underwriting, processing and servicing of securities products and services requested by you either directly with Post Oak Private Wealth Advisors or as received on your behalf from our Investment Adviser Representatives. We will not provide this information to any other non-affiliated third parties unless we have a written agreement that requires such third party to protect the confidentiality of this information.
  • We may have to provide the above described non-public information that we collect to authorized persons or entities to comply with subpoena or summons by federal, state or local authorities and to respond to judicial process or regulatory authorities having jurisdiction over our Firm for examination, compliance or other purposes as required by law.

CONFIDENTIALITY AND SECURITY OF YOUR NON-PUBLIC PERSONAL INFORMATION

We take all reasonable steps to assure the privacy of client information. For example:

  • We restrict access to non-public personal information about you to only those persons who need to know about that information in the normal course of processing advisory related products and services for you.
  • We maintain physical, electronic, and procedural safeguards that comply with state and federal standards to guard your non-public personal information.
  • If we become aware that an item of personal information may be materially inaccurate, we will make a reasonable effort to re-verify its accuracy and correct any error as appropriate.

INFORMATION ABOUT FORMER CUSTOMERS

Non-public information about our former customers is maintained by Post Oak Private Wealth Advisors on a confidential and secure basis. If any such disclosure were made, it would be for reasons and under conditions described in this notice. We do not disclose any non-public personal information about our former customers to anyone except as permitted or required by law.