Macke Financial
Advisory Group, Inc. (referred
to as “Macke”), maintains
physical, electronic, and
procedural safeguards that
comply with federal standards to
protect its clients’ nonpublic
personal information
(“information”). Through this
policy and its underlying
procedures, Macke attempts to
secure the confidentiality of
customer records and information
and protect against anticipated
threats or hazards to the
security or integrity of
customer records and
information.
It is the
policy of Macke to restrict
access to all current and former
clients’ information (i.e.,
information and records
pertaining to personal
background, investment
objectives, financial situation,
tax information/returns,
investment holdings, account
numbers, account balances, etc.)
to those employees and
affiliated/nonaffiliated
entities who need to know that
information in order to provide
products or services to the
client. Macke may disclose the
client’s information if Macke
is:
(1) previously
authorized to disclose the
information to individuals
and/or entities not affiliated
with Macke, including, but not
limited to the client’s other
professional advisors and/or
service providers (i.e.,
attorney, accountant, insurance
agent, broker-dealer, investment
adviser, account custodian,
etc.);
(2) required
to do so by judicial or
regulatory process; or
(3) otherwise
permitted to do so in accordance
with the parameters of
applicable federal and/or state
privacy regulations.
The disclosure
of information contained in any
document completed by the client
for processing and/or
transmittal by Macke in order to
facilitate the
commencement/continuation/
termination of a business
relationship between the client
and a nonaffiliated third party
service provider (i.e.,
broker-dealer, investment
adviser, account custodian,
insurance company, etc.),
including information contained
in any document completed and/or
executed by the client for Macke
(i.e., advisory agreement,
client information form, etc.),
shall be deemed as having been
automatically authorized by the
client with respect to the
corresponding nonaffiliated
third party service provider.
Macke permits
only authorized employees and
affiliates who have signed a
copy of Macke’s Privacy Policy
to have access to client
information. Employees violating
Macke’s Privacy Policy will be
subject to Macke’s disciplinary
process. Additionally, whenever
Macke hires other organizations
to provide services to Macke’s
clients, Macke will require them
to sign confidentiality
agreements and/or the Privacy
Policy.
Should you
have any questions regarding the
above, please contact Todd Macke,
at 239.275.1122.
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