Federal law also requires us to tell you how we collect, share, and protect your non-public personal information. The types of non-public personal information that we are required to collect when you open an account with us include your Social Security number, sources of income, investment, and bank account information. We also collect information about your finances, liabilities, and financial planning goals. We also collect non-public personal information from custodians and other companies that you have accounts with.
We disclose limited personal information about you to non-affiliated third parties in connection with the advisory services we provide as permitted or required by law. We share a limited amount of information about you with your brokerage firm to execute securities transactions on your behalf. You may opt-out of our sharing of your information with these non-affiliated third parties by notifying us at any time by mail, email, or in person. All financial companies must share their customer’s non-public personal information in order to conduct their daily business. For example, we share your non-public personal information when we make trades in your account and process transactions in your account(s). PFA is regulated by the SEC under the Investment Advisor Act of 1940, and federal and state securities regulators may request to review our company records which contains your non-public personal information. We protect the confidentiality of your non-public information while you are a client and we destroy all of your non-public information if you are no longer a client, as required under applicable federal and state law.
PFA does not share any non-public information about your creditworthiness with any third parties and we do not sell or share your non-public personal information with any third party to market to you. Under federal law, you have the right to prevent companies from sharing any non-public personal information about your creditworthiness and from sharing your non-public personal information with third parties for marketing purposes. State laws may give you additional rights to limit sharing and you may also be able to contact other companies to limit the information that they share.
Federal and state securities regulators may review our Company records and your personal records as permitted by law.