Updated October 2024

What Does SlateStone Wealth, LLC Do With Your Personal Information?

Why?

Financial companies choose how they share your personal information.
Federal law gives consumers the right to limit some but not all sharing.
Federal law also requires us to tell you how we collect, share, and protect
your personal information. Please read this notice carefully to understand
what we do.

What?

The types of personal information we collect can include:

  • Name
  • Address
  • Phone Numbers
  • Email
  • Date of Birth
  • Social Security Number
  • Income/Assets
  • Account Numbers
  • Account Transactions
  • Investment Experience

SMS opt-in and phone numbers for the purpose of SMS will not be shared with
third parties and affiliates. When you are no longer our client, we will
continue to hold your information and share it as described in this notice.

How?

All financial companies need to share clients’ personal information to run
their everyday business. Below, we list the reasons why financial companies
can share their clients’ personal information, the reasons SlateStone
chooses to share personal information, and whether you can limit this
sharing.

Reasons We Can Share Your Personal Information Does SlateStone Share? Can You Limit This Sharing?
For our everyday business purposes, such as to process your
transactions, maintain your account(s), respond to court orders and
legal investigations, auditors, examiners, compliance reviews, or
report to credit bureaus		 Yes. No.
For our marketing purposes to offer our products and services to you No. We don’t share.
For joint marketing with other financial companies No. We don’t share.
For non-affiliates to market to you No. We don’t share.

What We Do

How Does SlateStone Protect My Personal Information?

To protect your personal information from unauthorized access and use, we
use security measures that comply with federal law. These measures include
implementing cybersecurity protocols and safeguards, using secured files,
secure buildings, and limiting access to only those employees who need your
personal information to properly service your account and who supervise
employees’ activities.

Our online environment uses security technologies, including layered
security and two-party authentication protocols where applicable for
access and control over personal information.

How Does SlateStone Collect My Personal Information?

We collect your personal information, for example, when you:

  • Open an account
  • Enter into an investment advisory relationship
  • Tell us about your investment or retirement portfolio
  • Seek advice about your investments

We also collect your personal information from others, such as your broker
or custodian.

Why Can’t I Limit All Sharing?

Federal law gives you the right to limit only:

  • Sharing for affiliates’ everyday business purposes, including information
    about your creditworthiness
  • Affiliates from using your information to market to you
  • Sharing for non-affiliates to market to you

State laws and individual companies may give you additional rights to
limit sharing. See below for more information about your rights under state
law.

Definitions

Affiliates Companies related by common ownership or control. They can be
financial and non-financial companies.

  • We have no affiliated firms.
Non-Affiliates Companies not related by common ownership or control. They can be
financial and non-financial companies.

  • Non-affiliates we share information with include the third-party
    vendor list below.
Joint Marketing A formal agreement between non-affiliated financial companies that
together market financial products or services to you.

  • We do not share your information with anyone for the purposes of
    marketing to you.

Third Parties

Third Parties We Share Data With Who Provide Services

  • Electronic communication archiving systems
  • Portfolio management, client relationship, research, and compliance
    systems
  • Backup storage
  • Financial planning software systems
  • Compliance, legal, and audit professionals
  • Subadvisors and investment managers
  • Consultants or promoters, if you are introduced by one

Additional Information Regarding Our Privacy Policy

Phone numbers and SMS consent will never be shared with third parties,
vendors, affiliates, or any other outside entity for marketing purposes
under any circumstances.

Information for California, North Dakota, and Vermont Customers

In response to applicable state law, if the mailing address provided for
your account is in California, North Dakota, or Vermont, we will
automatically treat your account as if you do not want us to disclose your
personal information to non-affiliated third parties for purposes of them
marketing to you, except as permitted by applicable state law.

Questions?

Email us at
[email protected].

 

Download Privacy Policy