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Montgomery Brothers, Inc.
Client Privacy Notice
Montgomery Brothers, Inc. (MBI), an independent
investment advisor, believes that protecting the privacy of client
information is one of our fundamental responsibilities. Surveys show
that investors prize the confidentiality of their relationships with
their financial advisor. We are committed to safeguarding the
information of our clients, including all personal information that we
collect from you in connection with the services we provide. The
Securities and Exchange Commission has issued rules that require we
make explicit our client privacy policies. Certain key phrases that we
use are defined in the next paragraph.
Key Terms
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Non-Public
Personal Information includes personally identifiable financial
information that a client provides to a financial institution;
information resulting from a transaction with a client; or information
otherwise obtained by a financial institution. For example, non-public
personal information includes your account value and investment history. |
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A
Non-Affiliated Third Party is an entity
that does not control, is not controlled by, and does not share control
with MBI. These may include your broker, accountant or lawyer. |
Confidentiality and Security Procedures
We take steps to safeguard consumer information. We permit employee
access to such information only with a business or professional
purpose, and to non-affiliated third parties only as permitted
by law and agreed to by the client. (For example, federal regulations
permit us to share a limited amount of information about you with a
brokerage firm in order to execute security transactions on your
behalf, or so that our firm can discuss your financial situation with
your accountant or lawyer.)
We maintain a secure office and computer
environment to ensure that client information is not placed at
unreasonable risk.
Information We Collect
We may collect Non-Public Personal Information
about you from the following sources:
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The initial documents you send us, and those you direct to
have sent to us to set up your account. This may include name, address,
phone number, social security number, date of birth, and account
information, including any information contained in account statements. |
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Your
transactions with us, which would include security transactions,
portfolio allocations, number and timing of account transfers. |
Information We Disclose
We may disclose your Non-Public Personal Information, as
described above, to Non-Affiliated Third Parties including
broker-dealers and banks to assist us in servicing your account, but
only with your knowledge and consent. We require strict confidentiality
in our agreements with Non-Affiliated Third Parties. We also
may disclose the above information to federal and state securities
regulators upon request. If served with a subpoena, we will disclose
information to the issuing government authority, as required by law. Non-Public
Personal Information is maintained during the time that you are a
client, and retained for the period of time required thereafter by
federal and state securities laws.
We do not provide your personally identifiable
information to mailing list vendors or solicitors for any
purpose.
MBI will send you a copy of its privacy policy
annually, and any other time that you request.
If you have any questions concerning this privacy
policy, please contact John Montgomery, at (202) 861-2380.
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