Forta Financial Group, Inc., is Committed to Protecting Your Privacy
We respect every individual’s right to privacy. We understand the importance you place on the privacy and security of information that personally identifies you or your account information.
Why and How We Collect Personal Information
We are required by guidelines of our industry, such as FINRA Rule #2090, Know Your Customer, to obtain personal information about you for the purpose of providing investment recommendations, evaluating your financial needs, processing your requests and transactions, and providing customer service. The personal information we collect about you includes:
1.Information we receive from you to open an account or provide investment advice to you. This information typically includes your home address, telephone number, and financial information.
2.Information that we access or generate to service your account, such as account statements and securities holdings.
3.Information that we may receive from third parties with respect to your account, such as accounts you may have atother financial institutions or trade confirmations with other brokerage firms.
We Protect the Confidentiality of Your Personal Information in the Following Manner:
We do not sell personal information to anyone.
We disclose personal information only as required by law or with your permission.
We disclose or report personal information in limited circumstances where we believe in good faith that disclosure is required under law, to cooperate with regulators or law enforcement authorities, or to protect our rights or property.
We use personal information in ways that are compatible with the purposes for which we originally requested it. For example, we will use the information you give us to process your requests and transactions, to provide you with additional information about products and services, or to evaluate your financial needs. To do so, we may share personal information with an agent or affiliate.
We limit the collection and use of personal information to what is necessary to administer our business and to deliver services to you. This may include advising you about our products or services.
When We Share Your Personal Information With Our Affiliates
In order for us to provide investment recommendations to you, we may disclose your personal information in very limited instances which include:
1.Disclosures to companies as permitted by law, including those necessary to service your account, such as providing account information to our fully disclosed clearing firm and/or and custodians.
2.Disclosures to companies that perform services on our behalf, such as mailings pertaining to products and services.
How We Protect Your Personal Information That We Share With Our Affiliates
When we share personal information with an agent or affiliate, we protect that information with a confidentiality agreement. Companies that we hire to provide support services or act as our agent must conform to our privacy standards. Our internal policies prohibit employees who have access to our customer’s personal information from using or disclosing the information except for the appropriate business use of Forta Financial Group, Inc. All employees are required to sign a confidentiality agreement that requires them to protect your personal information.
Updating Your Personal Information
We will give you reasonable access to the information we have about you. Most of this information is contained in account statements that you receive and applications that you submit to obtain our products and services. The accuracy of your personal information is important. We encourage you to review this information and notify us of needed updates and/or changes. Please call us at 800-230-1288.