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Revised December 8, 2007
This privacy policy complies with SEC Regulation S-P. |
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Strategic Investment Advisors, Inc., d/b/a Kenfield Capital Strategies (KCS), an independent investment management and financial planning firm registered with the Securities and Exchange Commission (SEC), is committed to safeguarding the confidential information of its current and former clients. Your privacy is important to us and we hold all your personal and financial information in the strictest confidence. |
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The nonpublic information about our clients that we typically collect and retain includes personal information such as social security number, date of birth, address and health status, and financial information such as security transactions, net worth, income, debts, bank accounts and balances. |
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In order to protect your nonpublic information, we maintain a secure office and computer environment along with physical, electronic and procedural safeguards to keep ensure your information is not placed at risk. Our Privacy Policy restricts the use of client information in the following ways:
- We do not sell any information about current or former clients to third parties, nor is it our practice to disclose information to third parties unless requested to do so by a client or, if necessary, in order to process a transaction, service an account, or as required by law. We may share information with outside companies that perform administrative services for us. However, we require strict confidentiality in our agreements with these service providers.
- We limit employee access to nonpublic information to those who have a business or professional reason for access. Most of our clients have their own relationship with Fidelity Investments as their broker/dealer for securities transactions and for custodial services. Fidelity Investments has its own Privacy Policy, which is sent to all clients of Fidelity. With your permission, we hold the same information about you as does Fidelity.
- KCS is subject to audits from the SEC. These audits are required by law and regulation and are designed to protect and enforce the interests of our current and former clients. Governmental and regulatory agencies are bound by law to protect private and confidential information.
- Periodically, KCS may contract with a customer service evaluation firm for a third party survey of your satisfaction with our services. We use this information to determine where we need to improve. For third party surveys, we only disclose your name and phone number or address, and we will give you ample notice so you can opt out of these surveys if you wish. With all such firms, we require a covenant for strict confidentiality.
- Personally identifiable information about you will be maintained during the time you are a client, and for the period thereafter that such records are required to be maintained by federal and state securities laws. After this required period of record retention, all such information will be destroyed.
- KCS is not an insurance agency and does not provide insurance of any type. KCS does not share any information with insurance companies without a request and authorization from our clients.
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