Our Promise to You

Your privacy is very important to us, and we are committed to safeguarding your person and financial information.

Information Provided by Clients

In the normal course of doing business, we typically obtain the following non-public personal information about our clients’ identity:

  • Name, address, and Social Security number.
  • Client financial information such as income, assets, net worth, account balances and bank account information.
  • Financial planning related information including personal information necessary to complete all aspects of financial planning including risk management, insurance, retirement, taxes, estate planning, and investing; information on others such as your dependents relevant to your financial well-being.
  • Information regarding securities and other transactions executed by us.
  • Information about you from third parties, such as other agents, advisors, and consumer reporting agencies.

We use this information as part of the retail sales and/or financial planning process to help you meet your personal financial goals.

How We Manage and Protect Your Personal Information

  • Ingenium Financial will not sell, rent or lease your personal information to outside mailing list vendors or solicitors.
  • Ingenium Financial will not share non-public personal information about clients or consumers with third parties not affiliated with Ingenium Financial, except as noted below.
  • With your permission, Ingenium Financial may share non-public personal information as necessary:
    • To complete transactions or account changes as authorized by you.
    • To help facilitate the underwriting of an insurance application.
    • To service your policy, contract, or account.
    • To maintain or service your account(s) with contracted service providers or other professionals such as attorneys, accountants, consultants, employees, and insurance agents providing or supporting development and implementation of financial planning and/or analysis services, recommendation implementation, asset management, and/or administration for Ingenium Financial or on your behalf.
    • If Ingenium Financial is required by law or regulatory authorities with jurisdiction over the firm.
  • Any electronic storage of non-public personal information will be certified compliant with SEC Rule 17a-4 storage and security requirements.

We seek confidentiality in our agreements with unaffiliated third parties that require access to your personal information.  You may opt out from our sharing information with any of these non-affiliated third parties by notifying us at any time telephone, mail, fax, email, or in person.  We maintain physical, electronic, and procedural safeguards to protect your personal information.  This includes maintaining appropriate security measures for computer and information systems, such as the use of passwords, firewalls, and other internet security systems.  Personally identifiable information about you will be maintained while you are a client, and for at least the required period thereafter that records are required to be maintained by federal and state securities laws.  After that time, information may be destroyed safely.

Client Notifications

We will provide a notice describing our privacy policy at least annually.  We will also notify you promptly of any changes to our policy.  Please do not hesitate to contact us with any questions about this notice.


Effective January 1, 2022