Integrity Wealth Advisors, Inc.
Privacy Notice Regarding Client Privacy As Required By Regulation S-P & Regulation S-AM
Maintaining the trust and confidence of our clients is a high priority. That is why we
want you to understand how we protect your privacy when we collect and use
information about you, and the steps that we take to safeguard that information. This
notice is provided to you on behalf of Integrity Wealth Advisors, Inc.
Information We Collect
In connection with providing investment products, 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.
Categories of Information We Disclose
We may only disclose information that we collect
in accordance with this policy. Integrity Wealth Advisors, Inc. does 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 at Integrity Wealth Advisors, Inc., 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, or
insurance company, other advisers;
• To third parties who perform services or marketing, client resource management or
other parties to help manage your account on our behalf;
• To your attorney, 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, client relationship management
technology, 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 accounts/non-public information 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 Integrity Wealth Advisors,
Inc.;
• To service your accounts, 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. Integrity Wealth Advisors,
Inc. does not receive information regarding marketing eligibility from affiliates to make
solicitations.
Our Security Policy
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 physical, electronic, and procedural
security measures to safeguard confidential client information.
SMS Privacy Policy
Text message opt-in data and consent are not shared with any third parties (including subsidiaries and affiliates). If you wish to be removed from receiving future communications, text STOP to opt out.
SMS Terms & Conditions
You agree to receive informational SMS messages from Integrity Wealth Advisors, including responses to your inquiry, appointment reminders, client service communications, and important updates. Message frequency may vary. Message and data rates may apply. Carriers are not liable for delayed or undelivered messages.
You can opt out of SMS messages at any time by replying STOP. After you send STOP, you will receive a confirmation message and will no longer receive messages from us. To rejoin, you may sign up again as you did previously.
If you need assistance, reply HELP or contact us at 805-339-0760.
Closed or Inactive Accounts
If you decide to close your account(s) or become an inactive
customer, our Privacy Policy will continue to apply to you.
Complaint Notification
Please direct complaints to: Stephen Wagner at Integrity Wealth
Advisors, Inc., 196 S. Fir St., Suite 140, Ventura, CA 93001; (805) 339-0760.
Changes to This Privacy Policy
If we make any substantial changes in the way we use or
disseminate confidential information, we will notify you. If you have any questions
concerning this Privacy Policy, please contact us at: Integrity Wealth Advisors, Inc., 196 S.
Fir St., Suite 140, Ventura, CA 93001; (805) 339-0760.
