privacy policy

Hart & Patterson Financial Group LLP (“Hart & Patterson”) maintains physical, electronic, and procedural safeguards that comply with federal standards to protect its clients’ nonpublic personal information (“information”). Through this policy and its underlying procedures, Hart & Patterson attempts to secure the confidentiality of customer records and information and protect against anticipated threats or hazards to the security or integrity of customer records and information.

The types of nonpublic information that we may collect includes:

· Information we receive from you on applications or other forms, such as your date or birth and social security number;

· Information about your transactions with us, our affiliates, or others;

· Information collected through an internet “cookie” (an information collecting device from a web server); and

· Information we receive from a consumer reporting agency.

It is the policy of Hart & Patterson to restrict access to all current and former clients’ information (i.e., information and records pertaining to personal background, investment objectives, financial situation, tax information/returns, investment holdings, account numbers, account balances, etc.) to those employees who need to know that information in order to provide products or services in furtherance of the client’s engagement with our firm.

Hart & Patterson also shares your personal information for our everyday business purposes and to market our services to you. We do not engage in any joint marketing or share information for nonaffiliates to market to you.

In that regard, Hart & Patterson may disclose the client’s information: (1) to individuals and/or entities not affiliated with Hart & Patterson, including, but not limited to the client’s other professional advisors and/or certain service providers that may be recommended or engaged by Hart & Patterson in furtherance of the client’s engagement of Hart & Patterson (i.e., attorney, accountant, insurance agent, broker-dealer, investment adviser, account custodian, record keeper, etc.); (2) required to do so by judicial or regulatory process; or (3) otherwise permitted to do so in accordance with the parameters of applicable federal and/or state privacy regulations.

The disclosure of information contained in any document completed by the client for processing and/or transmittal by Hart & Patterson to facilitate the commencement/continuation/termination of a business relationship between the client and/or between Hart & Patterson and a nonaffiliated third party service provider (i.e., broker-dealer, investment adviser, account custodian, record keeper, insurance company, etc.), including, but not limited to, information contained in any document completed and/or executed by the client in furtherance of the client’s engagement of Hart & Patterson (i.e., advisory agreement, client information form, etc.), shall be deemed as having been automatically authorized by the client with respect to the corresponding non-affiliated third-party service provider.

Whenever Hart & Patterson hires other organizations to provide services to Hart & Patterson clients, Hart & Patterson will ensure that they take reasonable measures to protect client information and may require them to sign confidentiality agreements.

Should you have any questions regarding the above, please contact our Chief Compliance Officer at 413-253-9454.