The securities industry takes client privacy very seriously, as do we.  As such, we are not allowed to give information about your accounts or any personally identifiable information to a third party without your permission. 

Permission to Disclose

There are times when you may want us to disclose information to a third party.  For instance, you may wish us to forward account balances to your bank when you are in the process of re-mortgaging a property.  You may also find it convenient to allow your account manager to forward information to your accountant at tax time.  At our firm, this would require a Permission to Disclose Personal Identifiable Information form.

Trusted Contact Person

In other instances, identifying someone as a trusted contact may be helpful.  A Trusted Contact Person is someone that you authorize to contact in limited circumstances, such as:   

if we have trouble reaching you;

if we have a reasonable suspicion that your account may be exposed to financial exploitation;

if necessary, to confirm and address your whereabouts and health status; or

to help us confirm the validity of anyone presenting themselves as having a status of trustee, holder of power of attorney, guardian, or executor.

In any of these circumstances, having named a Trusted Contact Person allows to get in touch with someone that you trust to whom we can express our concerns. Naming an adult child, a sibling, or a close trusted may be the right choice to identify as your Trusted Contact Person.  With our firm this is accomplished by filling out and signing the Trusted Contact Person form.Completing this form doesn’t give us permission to share information, it is only used to facilitate contact with our client.   It doesn’t allow the trusted contact person to act on your behalf either.

Power of Attorney

In the event that the client cannot act on their own, having granted someone with Power of Attorney.   This should be someone that they trust implicitly and believe will act in the client’s best interest.    This document is usually drafted by an estate planning attorney.  This document allows for among other things, update client data, request distributions and to  modify the portfolio if necessary.