Disclosures
Privacy Policy
What does Applied Wealth Management do with your personal information? This is the firm’s consumer privacy notice under Regulation S-P. Rev. 5/2022.
- Why?
- Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.
- What?
- The types of personal information we collect and share depend on the product or service you have with us. This information can include: Tax Identification Number, date of birth, telephone number and address; annual income, tax bracket, account balances and transaction history; net worth, assets and employment history. When you are no longer our customer, we continue to share your information as described in this notice.
- How?
- All financial companies need to share clients’ personal information to run their everyday business. In the section below, we list the reasons companies can share their clients’ personal information; the reasons Applied Wealth Management chooses to share; and whether you can limit this sharing.
How we share your information
| Reasons we can share your personal information | Does AWM share? | Can you limit this sharing? |
|---|---|---|
| For our everyday business purposesSuch as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus. | Yes | No |
| For our marketing purposesTo offer our products and services to you. | Yes | No |
| For joint marketing with other financial companies | No | We don’t share. |
| For our affiliates’ everyday business purposesInformation about your transactions and experiences. | Yes | No |
| For our affiliates’ everyday business purposesInformation about your creditworthiness. | No | We don’t share. |
| For non-affiliates to market to you | No | We don’t share. |
What we do
- Who is providing this notice?
- Applied Wealth Management
- How does Applied Wealth Management protect my personal information?
- To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.
- How does Applied Wealth Management collect my personal information?
- We collect your personal information, for example, when you provide your personal information, seek investment advice, or complete an application. We also collect your personal information from others, such as credit bureaus, affiliates, or other companies.
- Why can’t I limit all sharing?
- Federal law gives you the right to limit only: sharing for affiliates’ everyday business purposes (information about your creditworthiness); affiliates from using your information to market to you; and sharing for non-affiliates to market to you. State laws and individual companies may give you additional rights to limit sharing.
Definitions
- Affiliates
- Companies related by common ownership or control. They can be financial and nonfinancial companies. Applied Wealth Management does not share with affiliates so they can market to you.
- Non-affiliates
- Companies not related by common ownership or control. They can be financial and nonfinancial companies. Applied Wealth Management does not share with non-affiliates so they can market to you.
- Joint marketing
- A formal agreement between nonaffiliated financial companies that together market financial products or services to you. Applied Wealth Management does not jointly market.
Questions? Call (661) 487-1020. For the firm’s complete disclosures, see our Form ADV Part 2A (PDF).