Information We Collect
3D/L collects personal information as part of our relationship with you to provide client services and fulfill legal and regulatory requirements. The type of information we collect may include:
Information 3D/L receives from you on applications and other forms (such as name, address, date of birth, Social Security number and investment holdings);
Information about your transactions with us, or others as provided by others to facilitate those transactions; and,
Information you provide 3D/L directly about your personal finances or personal circumstances or which 3D/L may receive from brokerage statements or other information you authorize 3D/L to receive.
Information Disclosed in Administering Products and Services
3D/L will not disclose personal information about current or former clients to nonaffiliated third parties except as permitted or required by law. 3D/L does not sell any personal information about you to any third party. 3D/L will not disclose personal information without your authorization, except as required or permitted by law. 3D/L may disclose information it collects about customers or former customers to third parties who are not affiliated with 3D/L under the following circumstances:
As directed or authorized by the customer;
To corresponding solicitors as directed by the customer;
To providers of other services and products used by the customer (custodian, etc.), in order to effect or settle transactions on the customer’s behalf,
As required in a regulatory audit or examination or to respond to a subpoena or similar legal process; and,
To persons and organizations contracted by 3D/L to provide services in support of our mission to service our customers. These parties include technology vendors, broker dealers/custodians, record-keepers and others. Any party so contracted will be prohibited, in their contract with 3D/L, from disclosing or using client information other than to perform the services contracted for.
Procedures to Protect Confidentiality and Security of Your Personal Information
3D/L Financial Group has procedures in place that limit access to personal information to those employees who need to know such information in order to perform business services. In addition, 3D/L maintains physical, electronic and procedural safeguards to guard your nonpublic personal information.