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BFM_Privacy
 

BFM_Privacy

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    BFM_Privacy BFM_Privacy Document Transcript

    • BOURBON FINANCIAL MANAGEMENT, LLC 616 West Fulton Street, Suite 411 • Chicago, IL 60661, USA +1 312-909-6539 • Patrick@BourbonFM.com PRIVACY POLICY OUR COMMITMENT TO YOUR PRIVACY Last verified: February, 2012This notice applies to individuals who obtain or apply for a financial service for personal,family, or household purposes, or have done so in the past, from Bourbon FinancialManagement, LLC (“BFM”). Protecting our clients’ privacy is of paramount importance toBFM. Your privacy is not for sale. As a financial services company, we believe that theprivacy and security of your data are essential. Personal information you give us is handledwith care.BFM does not and will not sell your personal information to anyone, for any reason. Becausethe trust is the base of our relationship, we attach importance to satisfy the client (“you”). Ourgoal is always to give you the best service through a personal access to your information.Because your satisfaction is important, BFM wants you to know its policy concerning thecommunication of your information.We will not share non-public personal information about our clients with non affiliated thirdparties without prior client consent, except for specific purposes described below.  Client information may be released in accordance with applicable laws and regulations.This notice explains our collection, use and safeguarding of client information.
    • HOW DOES BOURBON FINANCIAL MANAGEMENT GATHER INFORMATION :We may obtain information about you from the following sources:  Client agreements and other information that clients provide to us, whether in writing, in person, by telephone, electronically or by any other means. This information may include a client’s name, address, phone number, email address, social security number, employment information, income, investment experience, and credit references  Net worth statement  Personal tax returns provided by the clientSHARING INFORMATION WITH NON AFFILIATED THIRD PARTIES:We only disclose non-public client information to non-affiliated third parties with prior clientconsent when we believe it is necessary for the conduct of our business or as required orpermitted by law, such as:  If you request or authorize the disclosure of the information  To provide client account services or account maintenance  To respond to a subpoena or court order, judicial process, law enforcement or regulatory authorities  To perform services for the firm or on its behalf to develop or maintain proprietary trading or other software  In connection with a proposed or actual sale, merger, or transfer of all or a portion of our business or an operating unit  To help us prevent fraudWe do not make any disclosure of client non-public personal information to othercompanies who may want to sell their products or services to you. For example, we donot sell client lists and we will not sell client names to catalogue companies.
    • OPT OUT PROVISION:If, at any time in the future, it is necessary to disclose any of client personal information in away that is inconsistent with this policy, we will give our clients advance notice of theproposed disclosure so that they will have the opportunity to opt out of such disclosure.FORMER CLIENTS:Our Privacy Policy continues to apply to all former clients.TO WHOM THIS POLICY APPLIES:This Privacy Policy applies to individuals who obtain or have obtained services from BourbonFinancial Management, LLC used primarily for personal, family or household purposes.OUR SECURITY PRACTICES AND INFORMATION ACCURACY:We take steps to safeguard client information. We restrict access to the personal and accountinformation of our clients to our employees and agents for business purposes only. Wemaintain physical, and electronic safeguards to guard your personal information.Additionally, we have internal controls to keep client information as accurate and complete aswe can. If you believe that any information about you is not accurate, please let us know.OTHER INFORMATION:Independent advice: Bourbon Financial Management is an independent investmentadvisor. We do not sell mutual funds or receive commissions from any of the funds werecommend. As a fee-based advisor, our primary revenue comes from the fees we chargecustomers, their employers or financial service firms for the advice portion of our service.We reserve the right to change this Statement of Privacy Policy. The examples containedwithin this Privacy Policy are illustrations and they are not intended to be exclusive. If youhave any questions about our Privacy Policy, please contact Patrick Bourbon, Founder ofBourbon Financial Management, LLC at 312-909-6539.
    • FAQ:What personally identifiable information of mine is collected?Bourbon Financial Management collects information from you upon registration. At thispoint, you provide us with your name, zip code and e-mail address. You may also give usinformation about your gender, annual income, state of residence, marital status and yourindividual financial accounts. If you indicate you have a spouse or partner, his/her personaland financial account information will also be requested. If you receive advice, we keep a logof the advice that we provide to you in our records for your protection. We are required bylaw to keep records of your usage of our advisory service. This enables us to provide you witha history of the advice we have given to you. Occasionally, we may also conduct optionalsurveys through our e-mail newsletters. In this case, we would collect the information youprovide us from answering the survey questions.How is my information used?Your personal, investment and forecast information are maintained by Bourbon FinancialManagement to provide you with the services you have requested and to fulfill our legal andregulatory requirements.With whom is my information shared?Bourbon Financial Management will not sell, reveal or share any of your personal informationto others except in the following limited circumstances:· We have your permission to share the information;· We are required or authorized by law to disclose your information (for example, tocomply with a subpoena or regulatory requirement, or to protect against fraud or illegalactivity or for the safety of customers and their property).What choices are available to me regarding collection, use and distribution of myinformation?At Bourbon Financial Management, we would like to give you control over your accountinformation. On occasion, we may use your e-mail address to inform you of products orservices that we believe may be of interest to you. If you do not wish to receive futurecommunications from us, please let us know. We will ensure that you do not receive furthere-mails from us.How will you notify me of changes in the use of my personal information?If we are going to use your personally identifiable information in a manner different from thatstated at the time of collection, we will notify you via e-mail. You will have a choice as towhether or not we use your information in this different manner. In addition, if we make anymaterial changes in our privacy practices that do not affect user information already stored inour database, we will post a prominent notice on our Web site notifying users of the change.In some cases where we post the notice we will also e-mail users notifying them of thechanges in our privacy practices. © 2012 Bourbon Financial Management, LLC