As providers of products and services that involve compiling personal and sometimes sensitive information, protecting the confidentiality of information has been, and will continue to be, a top priority at Regency Financial Group (RFG). This brochure explains how RFG handles and protects the personal information we collect and describes our privacy practices for both current and former customers.
How do we protect the confidentiality and security of your information?
We maintain physical, electronic, and procedural safeguards to ensure that your personal information is treated responsibly and authorize only those employees who need that information to provide products or services to you, or to conduct RFG business. Additionally, we safeguard customer information in accordance with applicable data security regulations.
What personal information do we collect about you?
RFG collects information that helps to serve your financial needs, provide high standards of customer service, and fulfill legal and regulatory requirements and may include, but is not limited to information provided on applications and related materials, for example, name, address, social security number, and financial information; and/or information about your transactions with us, our affiliates, or others such as products and services purchased and account balances.
To whom do we disclose information and why?
First and foremost, we do not sell lists of our customers, nor do we disclose customer information to marketing companies outside of RFG. We will share customer information only when we are required by law or regulation to disclose information to third parties – for example, in response to a subpoena; to prevent fraud; to comply with rules of, or inquiries from industry regulators. Furthermore, as permitted prevent fraud; to comply with rules of, or inquiries from industry regulators. Furthermore, as permitted by federal and state laws, we may share or exchange information with companies and individuals engaged to work with us, such as: Third-party administrators and vendors hired to effect, administer, or enforce a transaction that you request or authorize; Financial service entities, such as banks, insurance companies, or other securities broker-dealers or investment advisers with whom we have joint marketing agreements; Registered representatives assigned to service your account through RFG with whom we have independent contractor agreements.
Opting out:
If the investment advisor servicing your account leaves RFG to join another investment advisor/broker-dealer, he or she will be able to maintain copies of your information so they can continue to serve you at the new firm. The information maintained may be shared by the representative with their new firm in-order for them to continue servicing your accounts at the new firm. At that point, the representatives continuing use of your information will be subject to the new firm’s privacy policy. If you do not wish to have your information shared (other than as prescribed by law) with any nonaffiliated third parties, including the investment advisor servicing your account when he/she leaves us to join another firm, or you have questions about our privacy policy please contact us at Regency Financial Group Attn: Compliance Department, 2855 Piedmont Avenue, La Crescenta, CA 91214 or call (818) 330-9610.
Regency Financial Group
2855 Piedmont Avenue, La Crescenta, CA 91214
Copyright © 2016 Regency Financial Group
