Hampel Investment Advisors, LLC (referred to as “HIA”) 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, HIA 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 HIA 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 in furtherance of the client’s engagement of HIA. In that regard, HIA may disclose the client’s information: (1) to individuals and/or entities not affiliated with HIA, including, but not limited to the client’s other professional advisors and/or certain service providers that may be recommended or engaged by HIA in furtherance of the client’s engagement of HIA (i.e., attorney, accountant, insurance agent, broker-dealer, investment adviser, account custodian, record keeper, proxy management service provider, 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 HIA to facilitate the commencement/continuation/termination of a business relationship between the client and/or between HIA and a nonaffiliated third party service provider (i.e., brokerdealer, investment adviser, account custodian, record keeper, insurance company, etc.), including, but not limited to, information contained in any document completed and/or executed by the client in furtherance of the client’s engagement of HIA (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. HIA permits only authorized employees and affiliates who have signed a copy of HIA’s Privacy Policy to have access to client information. Employees violating HIA’s Privacy Policy will be subject to HIA’s disciplinary process. Additionally, whenever HIA hires other organizations to provide services to HIA’s clients, HIA will require them to sign confidentiality agreements and/or the Privacy Policy.
YOU HAVE THE RIGHT TO WITHDRAW ALL OR PART OF THE CONSENT YOU HAVE HEREBY GRANTED BY NOTIFYING US IN WRITING OF YOUR WISH TO DO SO.
IF YOU WITHDRAW ALL OR PART OF THE CONSENT, THERE MAY BE A CERTAIN PERIOD OF TIME DURING WHICH WE ARE LEGALLY OR CONTRACTUALLY OBLIGED, OR FOR WHICH THERE MAY BE A LEGITIMATE BUSINESS NEED, TO CONTINUE PROCESSING SUCH DATA UNTIL A FULL AND FINAL TERMINATION OF OUR BUSINESS RELATIONSHIP WITH YOU CAN BE EFFECTED.