 |
FINRA
|
|
Privacy Policy
We
collect nonpublic personal information about you from the following sources:
-
Information we receive
from you on applications or other forms:
-
Information about your
transactions with us, our affiliates, or others; and
-
Information we receive
from a consumer-reporting agency
We do not disclose any nonpublic personal information about our customers or
former customers to anyone, except as permitted by law, or with express
permission from you.
We restrict access to nonpublic personal information about you to those
employees and vendors who need to know that information to provide products
or services to you. We maintain physical, electronic, and procedural
safeguards that comply with Federal standards.
••••••••••••••••••••••••••••••••••••••••
USA Patriot Act
Effective October 1, 2003, G. W. Sherwold Associates, Inc. is required by
the USA PATRIOT Act’s Customer Identification Program (CIP) to implement
reasonable procedures to verify the identity of any person establishing an
account.
Federal law requires all financial institutions to obtain, verify and record
information that identifies each person who opens an account.
In addition, prospective customers must be given notice that G. W. Sherwold
Associates, Inc. is requesting information to verify their identity.
Important Information About Procedures for Opening a New Account
To help the government fight the funding of terrorism and money laundering
activities, Federal law requires all financial institutions to obtain,
verify, and record information that identifies each person who opens an
account.
What this means for you: When you open account, we will ask for your name,
address, date of birth and other information that will allow us to identify
you. We may also ask to see your driver’s license or other identifying
documents.
••••••••••••••••••••••••••••••••••••••••
Complaint Inquiries
We feel confident that we will have a mutually satisfying business
relationship, with all of our clients, as we have for many years. If,
however, you feel the need to register a complaint, it should be directed
to: Gary Sherwold, President, G. W. Sherwold Associates, Inc., 22994 El Toro
Road, Lake Forest, CA 92630, 949-470-0700
••••••••••••••••••••••••••••••••••••••••
FINRA Information
G. W. Sherwold Associates, Inc. is a member of the Financial Industry
Regulatory Authority, otherwise known as FINRA. Additional information about
FINRA and its role in investor protection and education can be found at the
FINRA website: www.finra.org. Additionally,
FINRA operates a Public Disclosure Program where customers can obtain
information about the broker that customers are working with. A brochure
describing the services can be found on the FINRA website under the
“Investor Information” tab or by contacting FINRA directly at (301)
590-6500.
••••••••••••••••••••••••••••••••••••••••
SIPC Information
G. W. Sherwold Associates, Inc. is a member of the Securities Investor
Protection Corporation, otherwise known as SIPC. SIPC is the first line of
defense in the event a brokerage firm fails owing customers cash and
securities that are missing from customer accounts providing up to
$500,000.00 in coverage. Additional information about the role of SIPC
including obtaining a copy of the SIPC brochure can be found at the SIPC
website:
www.sipc.org or by contacting SIPC directly at the following address and
telephone number:
Securities Investor Protection Corporation (SIPC)
805 15th Street, N. W. Suite 800
Washington, DC 20005-2215
Tel: (202)371-8300
Fax: (202)371-6728
Email: asksipc@sipc.org
|
 |
|
