Effective May 6, 2021
PRIVACY NOTICE REGARDING CLIENT PRIVACY AS REQUIRED BY GRAMM-LEACH BLILEY & REGULATION S-P
By using this Website, you agree to the terms and conditions of this Notice.
Information We Collect: In connection with providing investment products, financial advice, or other services, we obtain non-public personal information about you, including:
- Information we receive from you on account applications, such as your name, address, telephone number, date of birth, Social Security Number, email address, occupation, assets income, transaction history, and other personal information; and
- Information about your transaction history with third-parties, including other financial professionals.
In order to run its everyday business, Guardian Wealth Advisors needs to share nonpublic personal information about our clients. We will only disclose information that we collect in accordance with this policy. We do not disclose any nonpublic personal information about clients to any non-affiliated parties, except to third-party service providers that assist in the operation of our business. To provide necessary business services to your account and on your behalf, we may disclose nonpublic personal information to service providers such as custodians and brokerage firms, all of which are required to maintain the confidentiality of such information. Guardian Wealth Advisors restricts access to nonpublic personal information about you to those employees, agents, or other parties that need to know the information to provide services to you. We may, however, disclose your personal information under the following circumstances:
- To consumer reporting agencies;
- To your attorney, trustee or anyone else who represents you in a fiduciary capacity;
- To our attorneys, accountants or auditors; and
- To government entities or other third parties in response to subpoenas or other legal process as required by law or to comply with regulatory inquiries.
How Your Personal Information is Collected: We collect most of this personal information directly from you—in person, by telephone, email and/or via our website and apps. However, we may also collect information:
- From publicly accessible sources;
- Directly from a third party (e.g., sanctions screening providers, credit reporting agencies, or customer due diligence providers);
- From a third party with your consent (e.g., your bank); and
- From cookies on our website.
How Long Your Personal Information Will Be Kept: We will keep your personal information while you have an account with us or while we are providing investment advisory services to you. Thereafter, we will keep your personal information for as long as is necessary:
- To respond to any questions, complaints or claims made by you or on your behalf;
- To show that we treated you fairly; or
- To keep records required by law.
We will not retain your personal information for longer than necessary for the purposes set out in this policy. Different retention periods apply for different types of personal information
- Guardian Wealth Advisors is committed to protecting the confidentiality and security of the information it collects and will handle nonpublic personal information about clients only in accordance with all applicable laws, rules and regulations. We shall ensure: (a) the security and confidentiality of client records and information; (b) that client records and information are protected from any anticipated threats and hazards; and (c) that unauthorized access to, or use of, client records or information is protected against. These security measures include computer safeguards and secured files and buildings.
- Guardian Wealth Advisors will maintain policies and procedures that are reasonably designed to safeguard nonpublic personal information about clients and only permit appropriate and authorized access to, and use of, nonpublic personal information about clients through the application of appropriate administrative, technical, and physical protections.
- Guardian Wealth Advisors shall not disclose any nonpublic personal information about its clients or former clients to anyone, except as permitted or required by law.
Linking to Other Interfaces: We may provide links to third party interfaces. If you follow links to interfaces not affiliated or controlled by Guardian Wealth Advisors, you should review their privacy and security policies and other terms and conditions, as they may be different from those of our Interfaces. Guardian Wealth Advisors does not guarantee and is not responsible for the privacy or security of these interfaces, including the accuracy, completeness, or reliability of their information.
Children’s Privacy Online: Our website is not directed or intended for individuals under the age of thirteen (13), and we request that these individuals do not provide Personal Information through the Interface. We do not knowingly collect information from children under 13 without parental consent. Visit the Federal Trade Commission website for more information about the Children's Online Privacy Protection Act (COPPA).
Updating Your Information: Keeping your account information up-to-date is very important. You may review or update certain account information by contacting us. You may also speak to your financial advisor.
Complaint Notification: Please direct complaints to: Guardian Wealth Advisors, 8201 Norman Center Drive, Suite 420, Bloomington, MN 55437 (952)746-3211.
How To Contact Us: Please contact us by USPS, email or telephone if you have any questions about this Notice, what information we collect about you, how we share your personal information or how we safeguard your personal information.
Our contact details are shown below:
Guardian Wealth Advisors
8201 Norman Center Drive, Suite 420
Bloomington, MN 55437