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ADV Part 2

 

 

 

Investor Resources Inc, Investment Advisory Service, Port Orchard, WA

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Client Information Privacy Policy

Investor Resources, Inc
691 Bethel Ave Ste B
Port Orchard, WA 98366

Like most industries today, the financial services industry is rapidly being shaped by technology, which is literally changing the way we do business. To be successful in this environment, we must continue to insure that our customers are confident that we will manage their financial affairs expertly and confidentially.

Our customers have access to a broad range of products and services. To deliver these products and services as effectively and conveniently as possible, it is essential that we use technology to manage and maintain certain customer information.

We want to assure all of our customers that whenever information is used, it is done with discretion. The safeguarding of customer information is an issue we take seriously at Investor Resources, Inc. To affirm our continuing commitment to the proper use of customer information, we have set forth the following Privacy Principles. It is these Privacy Principles that guide us in serving the privacy needs of our customers.

1. Recognition of a Customer's Expectation of Privacy: At Investor Resources, Inc., we believe the confidentiality and protection of customer information is one of our fundamental responsibilities. And while information is critical to providing quality service, we recognize that one of our most important assets is our customers' trust. Thus, the safekeeping of customer information is a priority for Investor Resources, Inc.

2. Use, Collection, and Retention of Customer Information: Investor Resources, Inc. limits the use, collection, and retention of customer information to what we believe is necessary or useful to conduct our business, provide quality service, and offer products, services, and other opportunities that may be of interest to our customers. Information collected may include, but is not limited to: name, address, telephone number, tax identification number, date of birth, employment status, annual income and net worth. Personally identifiable information about you will be maintained during the time you are a client, and for the required time thereafter that such records are required to be maintained by federal and state securities laws, and consistent with the CFP Board's Code of Ethics and Professional Responsibility. After this required period of record retention, all such information will be destroyed.

3. Maintenance of Accurate Information: Investor Resources, Inc. recognizes that it must maintain accurate customer records. Therefore, Investor Resources, Inc. has established procedures to maintain the accuracy of customer information and to keep such information current and complete. These procedures include responding to requests to correct inaccurate information in a timely manner.

4. Limiting Employee Access to Information: At Investor Resources, Inc., employee access to personally identifiable customer information is limited to those with a business reason to know such information. Employees are educated on the importance of maintaining the confidentiality of customer information and on these Privacy Principles. Because of the importance of these issues, all Investor Resources, Inc. employees are responsible for maintaining the confidentiality of customer information and employees who violate these Privacy Principles will be subject to disciplinary measures.

5. Protection of Information via Established Security Procedures: Investor Resources, Inc. recognizes that a fundamental element of maintaining effective customer privacy procedures is to provide reasonable protection against the unauthorized access to customer information. Therefore, Investor Resources, Inc. has established appropriate security standards and procedures to guard against any unauthorized access to customer information.

6. Restrictions on the Disclosure of Customer Information: When it comes to sharing customer information with unaffiliated companies, Investor Resources, Inc. places strict limits on who receives specific information about customer accounts and other personally identifiable data. Investor Resources, Inc. may share information with such companies when they provide a product or service authorized by our customers. We share the minimum amount of information necessary for that company to offer its product or service. We may also share information with unaffiliated companies that assist us in providing our products and services to our customers; in the normal course of our business (for example, with consumer reporting agencies when requested in writing by our clients and government agencies in the course of regulatory audits); when legally required or permitted in connection with fraud investigations and litigation; and at the request or with the permission of a customer.

7. Maintaining Customer Privacy in Business Relationships with Third Parties: If we provide personally identifiable customer information to a third party with which we have a business relationship, we will insist that the third party keep such information confidential, consistent with the conduct of our business relationship.

8. Disclosure of Privacy Principles to Customers: Investor Resources, Inc. recognizes and respects the privacy expectations of our customers. We want our customers to understand our commitment to privacy in our use of customer information. As a result of our commitment, we have developed these Privacy Principles which are made readily available to our customers. Customers who have questions about these Privacy Principles or have a question about the privacy of their customer information should call Donald Creech by phone at 1-800-317-9119 or by e-mail at doncreech@investorresourcesinc.com.

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