Privacy Policy

Commitment to the Client

Keeping your information secure and private is a priority for us. We are committed to safeguarding customer personal and financial information.

Non-Public Personal Information

In the course of providing service to you, we collect non-public personal information about you from the following sources:

  • Information from you on account applications and other standard forms (for example, name, address, date of birth, social security number, income, net worth and amounts of investment transactions);
  • Information about your transactions from third parties that work closely with us to provide you with diverse financial products and services (for example, your account balance, payment history, parties to transactions, types and amounts of investment transactions, and Pershing account credit card and check writing usage;
  • Information obtained when verifying the information, you provide on applications or other forms (this may be obtained from outside sources and/or other institutions where you conduct financial transactions).

Protecting Customer Information

Keeping your information secure is one of our most important responsibilities. We restrict access to non-public personal information to those employees and agents who need to know that information in order to provide products or services to you. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your non-public personal information. We regularly review, update and modify our policies and procedures to respond to new threats and adapt to changes in technology. Here are just a few measures we take:

  • Implement Strong Authentication and Password Protocols;
  • Enforce inactivity timeouts on our computers;
  • Maintain and regularly test our firewalls;
  • Continously update our anti-virus and anti-malware protection;
  • Mandatory Training for RRs and employees.

Disclosures to Third Parties

We do not sell, share or disclose your personal information to third party marketing companies. We may disclose all of the information we collect, as described above, to companies that perform services on our behalf, or to other product and service providers with whom we have joint marketing agreements. All of these companies are contractually obligated to keep the information that we provide to them confidential and use the information only for the services required and as allowed by applicable law or regulation, and are not permitted to share or use the information for any other purpose.

We may also disclose non-public personal information about you under circumstances as permitted by law. These disclosures typically include information to process transactions on your behalf, to conduct our operations, to follow your instructions as you authorize, or to protect the security of our financial records.

Disclosures to Affiliated Companies

In the course of providing services to you, we are permitted by law to share within our family of affiliated companies, information about your transactions or experiences with you.

Former Customers

If you decide to close your account(s) or your account becomes inactive, we will adhere to the privacy policies and practices as described in this notice. IFG reserves the right to change this policy at any time and will notify its clients in writing if any material changes occur. This privacy policy applies to consumers who are customers or former customers of IFG. Questions regarding this policy should be submitted in writing to the address below.

ATTN: Legal Counsel

Independent Financial Group, LLC

12671 High Bluff Dr, Suite 200

San Diego, CA 92130