Asset Planning Services, ltd. is committed to safeguarding the personal information of its clients. We hold all personal information provided to our firm in the strictest confidence. Personal information that we collect from you in connection with any of the services we provide to you is used only to conduct our business. We do not sell or rent client data or lists to third parties, and we require all employees, financial professionals, and vendors who have access to your data in providing your services to keep all files secure and confidential.
We use personal, health, and financial information that you provide to us with the objective of meeting your personal financial goals while guarding against any real or perceived infringements of your rights of privacy.
We do not offer or provide your personal information to any parties for the purposes of marketing, solicitation, or credit reviews.
Our policy with respect to personal information about you is listed below:
How We Obtain Data
We mostly collect personal information directly from you, which may include online access credentials you provide us to systems to gather information (such as employee benefit systems). In limited circumstances, we may collect information about you from third parties, such as your accountant or lawyer, or from your custodian or financial account provider.
What Data We Collect
The categories of nonpublic personal information that we collect from you typically include:
• Information about you, such as name, date of birth, address, social security number, occupation, marital status, etc.
• Information about your relationship with us, such as the products and services we provide you.
• Information about your personal finances, such as assets, liabilities, insurance, income, savings, investments, etc.
• Information about your family and family members, such as names, relationship to you, date of birth, addresses, etc.
• Information about your health, such as health risks, health insurance and expenses, employee benefits, etc.
With Whom We May Share Your Data
All financial companies need to share client personal information to run their everyday business. We use information about you to provide our asset management services to you. In order to provide you with our wealth management services, we may share personal information about you, as permitted by law, with various non-affiliated third parties and vendors we use to provide services to you. Examples of whom we may share data with include:
• Other financial, tax, or estate planning professionals of your choice.
• Companies whose products or services you purchase through us.
• Custodians, broker-dealers, mutual fund companies, annuity providers, plan sponsors, credit unions, banks, etc. that hold your accounts/assets.
• Vendors that perform support services for us, including those who:
o Support our computer systems, programs, or applications.
o Provide hosted technology services and applications.
o Provide performance reporting and Client Relationship Management platforms.
From time to time, we may also be required to give information about our business to regulatory authorities or as required by law. This may include personal information about you. We do not sell your personal information to anyone.
Non-affiliated third parties and vendors used in the provisioning of services to you are required by APS to maintain confidentiality in our agreements with them and APS expects them to keep this information private.
How We Protect Your Data
We have procedures in place that we believe are reasonably designed to protect the security and confidentiality of your information. These include confidentiality agreements with companies and individuals we hire to help us provide services to you, training of employees, and strict confidentiality policies that apply to all employees. We also maintain password-protected user access to our computer systems and files and a secure office and computer environment to ensure that your information is not placed at unreasonable risk. Furthermore, we use ShareFile encrypted software to securely send confidential or private files via email.
Personally identifiable information about you will be maintained during the time you are a client, and for at least the required time thereafter that such records are required to be maintained by federal and state securities laws, and consistent with the CFP Board Code of Ethics and Professional Responsibility.
We reserve the right to change this policy at any time as needed and you will be notified if any changes occur.
Notice to Clients
Federal law, State laws, and individual companies may give you additional rights to limit information sharing. Please contact our Chief Compliance Officer, Erik Morris, at email@example.com or 215-256-4600 to discuss further.
We will give you reasonable access to the information we have about you. If you have a question or concern about your personal information or this privacy notice, please contact us.
You can write to us or contact us at:
Asset Planning Services, Ltd.
162 Main Street, P.O. Box 164
Harleysville, PA 19438