Client Information Privacy Principles

Like most industries today, the financial services industry is rapidly being shaped by technology, which is literally changing the way we do business.  To be successful in this environment, we must continue to insure that our clients are confident that we will manage their financial affairs expertly and confidentially.

At SFG, LLC our clients have access to a broad range of products and services.  To deliver these products and services as effectively and conveniently as possible, it is essential that we use technology to mange and maintain certain client information.

We want to assure all of our clients that whatever information is used, it is done with discretion.  The safeguarding of client information is an issue we take seriously at SFG, LLC.  To affirm our continuing commitment to the proper use of client information, we have set forth the following Privacy Principal.  It is these Privacy Principals that guide us in serving the privacy needs of our clients.

1. Recognition of a Client’s Expectation of Privacy: At SFG, LLC, we believe the confidentiality and protection of the client’s information is one of our fundamental responsibilities.  And while information is critical to providing quality service, we recognize that one of our most important assets is our Client’s trust.  Thus, the safekeeping of client information is a priority for Siler Financial Group, LLC.
    
2. Use, Collection, and Retention of Client Information: SFG, LLC. limits the use, collection, and retention of client information to what we believe is necessary or useful to conduct our business, provide quality service, and offer products, services, and other opportunities that may be of interest to our clients.
    
3. Maintenance of Accurate Information: SFG, LLC. recognizes that it must maintain accurate client records.  Therefore, Siler Financial Group, LLC. has established procedures to maintain the accuracy of client information and to keep such information current and complete.  The procedures include responding to request to correct inaccurate information in a timely manner.
    
4. Limiting Employee Access to Information: At SFG, LLC, employee access to personally identifiable client information is limited to those with a business reason to know such information.  Employees are educated on the importance of maintaining the confidentially of client information, and employees who violate these Privacy Principals will be subject to disciplinary measures.
    
5. Protection of Information via Established Security Procedures:  SFG, LLC. recognizes that a fundamental element of maintaining effective client privacy procedure is to provide reasonable protection against the unauthorized access to client information.  Therefore, Siler Financial Group, LLC had established appropriate security standards and procedures to guard against any unauthorized access to client information.
    
6. Maintaining Client Privacy in Business Relationship with Third Parties:  If we provide personally identifiable client information to a third party with which we have business relationship, we will insist that the third party keep such information confidential, consistent with the conduct of our business relationship.
    
7. Disclosure of Privacy Principles to Clients:  SFG, LLC. recognizes and respects the privacy expectations of our clients.  We want our clients to understand our commitment to privacy in our use of client information.  As a result of our commitment, we have developed these Privacy Principals, which are made readily available to our client.  Clients who have questions about these Privacy Principals or have questions about the privacy of their information should call Patricia Button at (888) 855-2855 or e-mail her at patty@stockdr.com.

These Privacy Principles apply to individuals, and we reserve the right to change these Privacy Principles, and any of the policies or procedures described above, at any time without prior notice.  These Privacy Principles are for general guidance and do not constitute or create legal rights and do not modify or amend any agreements we have with our clients.