Through its independent financial representative, United Planners has the privilege of assisting clients in reachingtheir financial goals. We take very seriously the responsibility to safeguard the confidentiality of clients’ informationthat we obtain. We are, therefore, pleased to provide our policy on handling client information.
When you establish a relationship with one of our independent financial representatives, you are requested to furnishpersonal and financial information used to assist in assessing your investment objectives and goals. In accordancewith federal regulations, we may ask you to provide identification documents or other information. What you sharewith us is often private and confidential, and we are committed to its protection. In addition to the informationcollected, during the course of our relationship we may also collect a variety of non-public personal informationfrom other sources. What we collect may include:
Limitations and Controls regarding sharing customer information
United Planners does not disclose non public personal information about you to anyone, except as permitted by law.Information is only shared to the extent that is prudent for United Planners and/or our financial representatives tooffer you products and services that best meet your investing and/or information protection needs and effecttransactions that you request or authorize. We may disclose the information we collect to companies that performadministrative or marketing services on our behalf, product sponsor companies, parent company and subsidiaries,custodians, certain third-party data management providers, transfer agents, data protection servicer, and when it isrequired by law to regulatory or law enforcement authorities. As stated in our agreements, these companies will usethis information only for the services for which we have specified, and are contractually obligated not to use or sharethis information for any other purpose.
Additionally, United Planners:
United Planners and its independent financial representatives are committed to keeping your customer informationsecure, accurate, and current. This commitment also extends to those individuals who are no longer activecustomers. If you close your account or are in the process of transferring your investments, we may share yourinformation with the new broker/dealer or custodian that you or your financial representative select. If the financialrepresentative servicing your account leaves us to join another broker-dealer, the financial representative ispermitted to retain copies of your information so that he or she can continue to serve you, if you choose, at the newfirm. If your account is not transferred within sixty days, your account may be assigned to a current UnitedPlanners’ representative.
United Planners reserves the right to change the policy at any time and will inform you of any changes as theyoccur.