Notice Regarding Client Privacy
This notice is provided to you on behalf of Integrated Wealth Management, LLC (IWM). Main taining the trust and confidence of our clients is a high priority. We want you tounderstand how we protect your privacy when we collect and use information about you, and the steps that we take to safeguard that information.
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 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 disclose all information that we collect. IWM and its affiliates do 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:
- Geneos Wealth Management, Inc.
- To your authorized Registered Representative and his or her manager;
- To entities that perform services for us or function on our behalf, including financial service providers, such as a clearing broker-dealer, investment company, or insurance company;
- To consumer reporting agencies,
- To third parties who perform services or marketing on our behalf;
- 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 We Use Information
Information may be used by IWM and or 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:
- To protect your accounts from unauthorized access or identity theft;
- To process your requests such as securities purchases and sales;
- To establish or maintain an account with an unaffiliated third party, such as a clearing broker-dealer providing services to you and/or IWM;
- To service your accounts, such as by issuing checks and account statements;
- To comply with Federal, State, and Self-Regulatory Organization requirements;
- To keep you informed about financial services of interest to you.
- Our Security Policy: We restrict access to nonpublic 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
Please direct complaints to: Integrated Wealth Management, LLC, 4800 N. Scottsdale Road, Suite 1900 Scottsdale, AZ 85251, Phone – 480-663-6000.
IWM offers securities through Geneos Wealth Management Inc
Our Website contains previous newsletters where specific information may be dated and may no
longer reflect IWM’s current view. Nothing on this site should be interpreted to state or imply that
past results are a guarantee of future performance.
Links to Other Websites
The links to information on other websites is being provided strictly as a courtesy. When you link to
any of the web sites provided here, you are leaving our web site, and we make no representation as to
the completeness or accuracy of information provided on these other sites. Nor is IWM liable for any
direct or indirect technical or system issues or any consequences arising out of your access to or your
use of third-party technologies, web sites, information and programs made available through this web
site. When you access one of these web sites, you are leaving our web site and assume total
responsibility and risk for your use of the web sites you are linking to.