Maintaining the trust and confidence of our clients is of utmost importance to us. That is why we want you to understand how we protect your privacy when we collect and use information about you, and the steps we take to safeguard that information. The terms “we,” “us,” “our,” and “ours” refer to Olympus Wealth Management, LLC, unless the context clearly indicates otherwise.
Information We Collect: In connection with providing investment management, financial advice, or other services, we obtain non-public personal information about you, including:
- Information we receive from you on account applications, such as your address, date of birth, Social Security Number, occupation, financial goals, assets and income;
- Information about your transactions with us, our affiliates, or others; and sometimes;
- Information received from credit or service bureaus or other third parties, such as your credit history or employment status.
Categories of Information We Disclose: We may only disclose information that we collect in accordance with this policy. We do not sell customer lists and will not sell your name to telemarketers.
Categories of Parties to Whom We Disclose: We will not disclose information regarding you or your account(s) with us, except under the following circumstances:
- To entities that perform services for us or function on our behalf, including financial service providers, such as a clearing broker-dealer, investment company, insurance company, sub-advisers or Third Party Asset Managers (TPAMs);
- To third parties who perform services or marketing on our behalf;
- To your attorney, accountant, trustee or anyone else who represents you in a fiduciary capacity;
- To our attorneys, accountants or auditors; and
- To government entities or other third parties in response to subpoenas or other legal process as required by law or to comply with regulatory inquiries.
How We Use Information: Information may be used among companies that perform support services for us, such as data processors, technical systems consultants and programmers, or companies that help us market products and services to you for a number of purposes, such as:
- To protect your account(s) from unauthorized access or identity theft;
- To process your requests such as securities purchases and sales;
- To establish or maintain an account with an unaffiliated third party, such as a clearing broker-dealer providing services to you and/or us;
- To service your account(s), such as by issuing checks and account statements;
- To comply with Federal, State, and Self-Regulatory Organization requirements;
- To keep you informed about financial services of interest to you.
Regulation S-AM: Under Regulation S-AM, a registered investment adviser is prohibited from using eligibility information that it receives from an affiliate to make a marketing solicitation unless: (1) the potential marketing use of that information has been clearly, conspicuously and concisely disclosed to the consumer; (2) the consumer has been provided a reasonable opportunity and a simple method to opt out of receiving the marketing solicitations; and (3) the consumer has not opted out. We do not receive information regarding marketing eligibility from affiliates to make solicitations.
Regulation S-ID: Regulation S-ID requires us to have an Identity Theft Protection Program (ITPP) that controls reasonably foreseeable risks to customers or to the safety and soundness of our firm from identity theft. We have developed an ITPP to adequately identify and detect potential red-flags to prevent and mitigate identity theft.
Our Security Policy: Our goal is to protect your personal information. We restrict access to nonpublic personal information about you to those individuals who need to know that information to provide products or services to you and perform their respective duties. We maintain reasonable physical, electronic, and procedural security measures that comply with applicable law to guard nonpublic personal information against loss, misuse or unauthorized access, disclosure, alteration or destruction of the information you have provided to us. We have internal policies governing the proper handling of consumer information by Olympus personnel.
Complaint Notification: Please direct complaints to: Matthew T. Bloom-Krull at Olympus Wealth Management, LLC; 6995 Union Park Center, Suite 140, Cottonwood Heights, UT 84047; (801) 449-9600; email@example.com.