This notice is being provided in accordance with applicable state and federal laws because you are a current or potential client of Jeffrey B. Waxman, Inc. doing business as Waxman Financial (“the firm”). This notice is intended to help you understand what types of nonpublic personal information (i.e., information about you that is not publicly available) may be collected by the firm, how it is used and how your privacy is protected.
The firm has policies and procedures in place to protect the unauthorized release of all such nonpublic personal information about its clients. Access to this information is exclusively restricted to those employees of the firm who are required to be aware of such information in order to provide specific financial planning services to the client(s). The firm maintains physical, electronic and procedural safeguards to protect this nonpublic personal information.
Certain nonpublic personal information is collected in the course of preparing Personal Financial Plans in order to process and administer our client’s business interest and to ensure that their financial needs are satisfied. This nonpublic personal information may include, but is not limited to, clients’ financial assets and liabilities, personal background, creditworthiness, career, family or retirement objectives, health status/history, tax strategies, estate planning and insurance issues.
Waxman Financial does not sell, release, disclose or divulge any nonpublic personal information about its current or former clients to any third party under any circumstances, except as may be required by law. This generally occurs only as a result of formal government inquiry or in direct response to litigation involving the client that forces us to provide any information requested.
The firm reserves the right to change any of its privacy policies and related procedures at any time, in accordance with applicable state and federal laws. In the event any such changes are made, you will receive appropriate written notice describing the nature and timing of such changes in advance of the firm’s implementation of any new policies.