At FSG, we are committed to maintaining the trust and confidence you have placed in us. That is why we want you to understand 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 advisory services, we may obtain non-public personal information about you. Typically, we collect this information at the time you establish a relationship with us. Some of the information we may collect includes:
- 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 if necessary to better serve your needs as a client. Financial Solutions Group LLC and its affiliates do not sell customer lists and will not sell your name to telemarketers or other non-affiliated third parties.
Categories of Parties to Whom We Disclose: We will not disclose information regarding you or your account with us, except under the following circumstances:
- To your authorized Representative and his or her manager;
- To our parent companies or their affiliates, to the extent permitted by law;
- 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 among the 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 Financial Solutions Group, LLC;
- 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.
SEC Disclosure: We will happily provide a copy upon request of our current Form ADV Part II which is filed with the SEC. Form ADV details the way in which we conduct business and is available to you on an ongoing basis as required by the SEC.
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: Financial Solutions Group LLC, 6700 E Pacific Coast Highway Suite 291, Long Beach, CA 90803 or by phone at (562) 430.2223