Wolff Financial Advisors, LLC
Confidentiality Statement and Standards
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IMPORTANT CONSUMER INFORMATION:
Wolff Financial Advisors is listed with all required regulatory bodies as a Registered Investment Advisor. The firm will not solicit or accept business in any state in which it is not properly registered or otherwise qualified to conduct business by virtue of a state "de minimus" exemption.
This World Wide Web Site does not provide investment advice, nor does it constitute an offer to provide investment advice, to any individual or any other entity in any state or other jurisdiction.
- A broker-dealer, investment advisor, BD agent, or IA rep may only transact business in a particular state after licensure or satisfying qualifications requirements of that state, or only if they are excluded or exempted from the state's broker-dealer, investment advisor, BD agent, or IA rep requirements, as the case may be.
- Follow-up, individualized responses to consumers in a particular state by broker-dealer, investment advisor, BD agent, or IA rep that involve either the effecting or attempting to effect transactions in securities or the rendering of personalized investment advice for compensation, as the case may be, shall not be made without first complying with the state's broker-dealer, investment advisor, BD rep, or IA rep requirements, or pursuant to an applicable state exemption or exclusion.
- For information concerning the licensure status or disciplinary history of a broker-dealer, investment advisor, BD agent, or IA rep, a consumer should contact his or her state securities law administrator.
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NOTICE OF PRIVACY POLICY - JANUARY 2010
11582 Colony Row
Broomfield Colorado 80021
Wolff Financial Advisors, LLC, an independent financial advisory firm, is committed to safeguarding confidential information entrusted to us.
Collection of Nonpublic Information: In the course of providing advisory services, we collect nonpublic personal information about you either from you and/or from third parties whom we are authorized to contact. Depending upon the scope of the planning engagement with Wolff Financial Advisors, this nonpublic personal information may include data about your personal finances and health history, information about transactions between you and third parties, and/or information from consumer reporting agencies. We use this information to help you meet your personal financial goals.
Disclosure of Nonpublic Information: We do not disclose nonpublic personal information except as required or permitted by law or in order to effect, administer, or enforce a transaction authorized by you. In our agreements with unaffiliated third parties that require access to nonpublic personal information, including for example financial service companies, consultants, and auditors, we require a signed confidentiality agreement from the third party and also restrict the use of nonpublic personal information to the purpose for which the information was disclosed. Federal and State securities regulators may review our records as permitted by law. We do not provide any of your nonpublic personal information to mailing list vendors or other solicitors.
Protecting the Confidentiality & Security of Current and Former Clients' Data: We retain records relating to professional services that we provide so that we are better able to assist you with your financial planning and/or to comply with our professional and regulatory guidelines. We maintain physical, electronic, and procedural safeguards to guard your personal information.
Our privacy policy applies to current and former clients.
We will notify you in advance if it is necessary to change our privacy policy. We are required by law to deliver this Privacy Notice to you annually and in writing, and we welcome any questions or comments that you may have about our privacy policies.
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