Centura Wealth Advisory Privacy Policy
PRIVACY NOTICE REGARDING CLIENT PRIVACY AS REQUIRED BY REGULATION S-P
Information We Collect: In connection with providing investment products, financial advice, or other services, we obtain non-public personal information about you, including:
- Information we receive from you on account applications, such as your address, date of birth, Social Security Number, occupation, financial goals, assets and income;
- Information about your transactions with us, our affiliates, or others; and
- Information received from you, such as your credit history or employment status.
Categories of Information We Disclose: We may only disclose information that we collect in accordance with this policy. Centura Wealth Advisory does not sell customer lists and will not sell your name to telemarketers.
Categories of Parties to Whom We Disclose: We will not disclose information regarding you or your account with us, except under the following circumstances:
- To your authorized Financial Advisor, his or her manager and company Compliance Officer;
- To entities that perform services for us or function on our behalf, including account custodians, financial service providers, such as a clearing broker-dealer, mutual fund company;
- To third parties who perform account services on our behalf, much as performance reporting and account aggregation services;
- To your attorney, CPA, trustee or anyone else who represents you in a fiduciary capacity;
- To our attorneys, accountants or auditors; and
- To government entities or other third parties in response to subpoenas or other legal process as required by law or to comply with regulatory inquiries.
- To affiliated third parties: Centura Insurance Solutions
How We Use Information: We restrict access to nonpublic personal information about you to those individuals who need to know that information to provide products or services to you and perform their respective duties. We maintain physical, electronic, and procedural security measures to safeguard confidential client information. Information may be used among companies that perform support services for us, such as data processors, technical systems consultants and programmers, or companies that help us support your account activities for a number of purposes, such as:
- To protect your accounts from unauthorized access or identity theft;
- To establish or maintain an account with an unaffiliated third party, such as a clearing broker-dealer providing services to you and/or Centura Wealth Advisory;
- To service your accounts, such as by issuing checks and account statements;
- To comply with Federal, State, and Self-Regulatory Organization requirements
Former Clients: If you decide to close your account(s) or become an inactive customer, we will adhere to our privacy policies, which may be amended from time to time.
Complaints Regarding or Changes to This Privacy Policy: If we make any substantial changes in the way we use or disseminate confidential information, we will provide written notification to you. If you have any questions concerning this Privacy Policy, please contact us at: Centura Wealth Advisory, 3570 Carmel Mountain Rd., Suite 220 San Diego, CA 92130 or call 858-771-9500 and ask to speak to the Chief Compliance Officer.
