Information We Collect: In connection with providing investment services, financial advice, or other related services, we obtain non-public personal information about you, including: • Information we receive from you on account applications, such as your address, date of birth, Social Security Number, occupation, financial goals, assets and income; • Information about your transactions with us, our affiliates, or others; and • Information received from credit or service bureaus or other third parties, such as your credit history or employment status.
Categories of Information We Disclose: We may only disclose information that we collect in accordance with this policy. Strategy Asset Managers, LLC does not sell customer lists and will not sell your name to telemarketers.
Categories of Parties to Whom We Disclose: We will not disclose information regarding you or your account with us, except under the following circumstances:
How We Use Information: Information may be used among companies that perform support services for us, such as data processors, technical systems consultants and programmers, or companies that help us market products and services to you for a number of purposes, such as:
Regulation S-AM: Under Regulation S-AM, a registered investment adviser is prohibited from using eligibility information that it receives from an affiliate to make a marketing solicitation unless: (1) the potential marketing use of that information has been clearly, conspicuously and concisely disclosed to the consumer; (2) the consumer has been provided a reasonable opportunity and a simple method to opt out of receiving the marketing solicitations; and (3) the consumer has not opted out. SAM does not receive information regarding marketing eligibility from affiliates to make solicitations.
Regulation S-ID: Regulation S-ID requires our firm to have an Identity Theft Protection Program (ITPP) that controls reasonably foreseeable risks to customers or to the safety and soundness of our firm from identity theft. We have developed an ITPP to adequately identify and detect potential red flags to prevent and mitigate identity theft.
Departing Investment Adviser Representatives (“IARs”): If your IAR’s affiliation with Strategy Asset Managers, LLC ends and he or she joins a non-affiliated securities broker-dealer or registered investment adviser, Strategy Asset Managers, LLC will permit the IAR to use certain client contact information to solicit clients to join the IAR’s new financial services provider. The client contact information that the IAR may use is limited to your name, address, email address, phone number and account title.
Certain states have adopted a requirement for you to approve the sharing of information in advance, otherwise known as an “opt-in” choice. If you live in an “opt-in” state (e.g., California, Massachusetts, Maine, Alaska, North Dakota or Vermont), then Strategy Asset Managers, LLC will require your consent to share your information with unaffiliated third parties who are not servicing your account. State requirements vary and may change without notice.
Your Right to Opt Out: Federal privacy laws give you the right to restrict us from sharing your personal financial information. These laws balance your right to privacy with Strategy Asset Managers, LLC’s need to provide information for normal business purposes. You have the right to opt out of sharing certain information with affiliated and unaffiliated companies of our firm. Choosing to restrict the sharing of your personal financial information will not apply to (1) your information that we may share with companies that help promote and market our own products or products offered under a joint agreement with another company; (2) records of your transactions–such as your loan payments, credit card or debit card purchases, and checking and savings account statements–to firms that provide data processing and mailing services for our firm; (3) information about you in response to a court order; and (4) your payment history on loans and credit cards to credit bureaus. If you opt out, you limit the extent to which Strategy Asset Managers, LLC can provide your personal financial information to non-affiliated companies. If you wish to exercise your right to opt out, please contact our firm at (626) 657-0559.
Our Security Policy: We restrict access to non-public personal information about you to those individuals who need to know that information to provide products or services to you and perform their respective duties. We maintain physical, electronic, and procedural security measures to safeguard confidential client information.
Closed or Inactive Accounts: If you decide to close your account(s) or become an inactive customer, our Privacy Policy will continue to apply to you.
Complaint Notification: Please direct complaints to: Thomas Hulick, at Strategy Asset Managers, LLC, 790 E. Colorado Blvd., Suite 200, Pasadena, California 91101; (626) 657-0559.
Changes to This Privacy Policy: If we make any substantial changes in the way we use or disseminate confidential information, we will notify you. If you have any questions concerning this
Privacy Policy, please contact us at: 790 E. Colorado Blvd., Suite 200, Pasadena, California 91101; (626) 657-0559 .