The following information contains Auctus Wealth Management, Inc.’s (“AWM”) privacy policy designed to protect the confidentially of current or former customers (“you”). Your relationship with AWM was established when you first opened an account with AWM. This means we received your nonpublic personal information for the sole purpose of servicing your account.

This information is presented to you in conformity with 15 U.S.C. 6801-6810 and the Securities and Exchange Act of 1934 as amended by 15 U.S.C. 6801-6810. The nonpublic personal information which identifies you or your account is hereafter referred to as “personal information.”

Maintaining personal information secure and confidential is a AWM priority. The following information will explain our privacy policy in more detail.

Important Information About Procedures for Opening a New Account — To help the government fight the funding of terrorism and money laundering activities, federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.

What this means for you: When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver’s license or other identifying documents.

YOUR NONPUBLIC PERSONAL INFORMATION — AWM DOES NOT SELL YOUR NONPUBLIC PERSONAL INFORMATION. WE WILL ONLY DISCLOSE YOUR NONPUBLIC PERSONAL INFORMATION, WHICH INCLUDEDS ANY PERSONALLY IDENTIFIABLE INFORMATION ABOUT YOU, AS INDICATED IN THIS POLICY, IF WE HAVE OBTAINED YOUR CONSENT OR WE ARE REQUIRED BY LAW TO DISCLOSE SUCH INFORMATION.

NONPUBLIC PERSONAL INFORMATION COLLECTED — To provide you with the highest quality of service, AWM collects the following types of nonpublic personal information:

Information from you — Information you provide on an application for an account, or any other financial product or service, whether in writing, in person, by telephone, electronically or by any other means, such as your name, address, social security number, assets, income, and debt; and information we obtain for the purpose of tax reporting to you and to the various agencies to which we report as required by law, including disclosures on various Internal Revenue Service (IRS) forms that we collect for tax reporting purposes.
Information about your transactions with us — Information that relates to account balance, payment history, trading activity and any other such transactions; information we collect as part of authentication for purposes of servicing your account in a secure and confidential fashion.
Information about your transactions with nonaffiliated third parties — Information provided to other nonaffiliated third parties as required by law, including information shared in connection with a subpoena or other legal document compelling our compliance; and information related to servicing your account for purposes of providing clearing services.
Information from a consumer-reporting agency — Information from a consumer reporting agency regarding your creditworthiness or credit history or other information as it pertains to lending; information about the fact that you are a customer of AWM and we have provided you a financial product or service; and information from other outside sources regarding their employment of, credit to, or their relationship with you, or verifying representations made by you, such as your employment history, loan or credit card balances.

NONPUBLIC PERSONAL INFORMATION DISCLOSED — Nonpublic personal information is disclosed in connection with servicing your account for the purposes of providing clearing services which includes, among other things, settlement, billing, processing, clearing, transferring, reconciling, collection and tax reporting, provided to nonaffiliated third parties as required by law or with your consent.

AFFILIATES AND NONAFFILIATED THIRD PARTIES TO WHOM WE DISCLOSE — AWM does not disclose any nonpublic personal information about you except as permitted by law.

FORMER CUSTOMERS — AWM does not disclose any nonpublic personal information about you except as permitted by law.

PRIORITIZING SECURITY INFORMATION — AWM is committed to maintaining appropriate measures to ensure that your information is secure and confidential. AWM’s information and security procedures include, but are not limited to, the following features.

• Access controls on customer information systems, including controls to authenticate and permit access only to authorized individuals and controls to prevent employees from providing customer information to unauthorized individuals who may seek to obtain this information through fraudulent means.

• Physical access restrictions at locations containing customer information, such as buildings, computer facilities, and record storage facilities to restrict access to unauthorized individuals.

• Encryption of electronic customers information where appropriate.

• Stringent pre-employment screening, including fingerprinting, and segregation of duties for employees with responsibilities for or access to customer information.

• Monitoring systems and procedures to detect actual and attempted attacks on or intrusions into customer information systems.

• Response programs that specify actions to be taken when AWM suspects or detects that an unauthorized individual may have gained access to customer information systems.

• A disaster recovery plan to protect against loss of damage to customer information due to potential environmental hazards, such as fire and water damage or technological failures.

• AWM regularly revises and updates it information security program to keep pace with changes in technology.

Advisory Services offered through Auctus Wealth Management. An insurance agent, registered representative, investment adviser representative, or registered investment advisor may transact business in a state only if appropriately licensed or registered. Follow-up, individualized responses to a person in a state by such a firm or individual will not be made without first complying with appropriate licensing or registration requirements. PLEASE NOTE: This website contains hyperlinks to other websites that are not associated with this site. Such unassociated websites may contain links to other unassociated sites as well. These links are provided as a convenience to you and to assist you in your search for information. We make no endorsement, express or implied, about any of these linked sites, are not responsible for materials posted or activities that occur on such linked sites, and do not review (1) content or advertisements posted on or (2) activities occurring on these linked sites. If you decide to link to any unassociated website, it is at your own risk. Because we are not associated with these linked websites, you should direct any concerns or problems you might have with any such site to that site‘s administrator or Webmaster. Auctus Wealth Management does not provide any legal or tax advice. One should consider consulting with a legal or tax professional before implementing any investment strategy.

Privacy Policy

Auctus Wealth Management

Auctus Wealth Management is an independent, full-service investment advisory and wealth management firm dedicated to growing and preserving the wealth of its clients through customized portfolio solutions.