Privacy Policy
Pursuant to Regulation S-P, which deals with the privacy of customer financial information, the firm is required to maintain physical, electronic and procedural safeguards to comply with federal standards to safeguard customer, and former customer, nonpublic personal information.
Tetra Wealth Management LLC is committed to protecting your personal information to ensure your financial privacy. Because safeguarding your personal information is important to us, We will not disclose any nonpublic personal information about our customers or former customers to anyone, except as permitted by law and described below.
Information We Collect
We collect the following types of nonpublic personal information about you:
Information you supply on applications or other forms, such as your name, address, social security number, assets, debt, insurance policies, estate documents and income and similar information. We use this information in providing our investment advisory services to you.
Information about your transactions with us or others, such as your account balance and account transactions. We use this information to evaluate your financial situation and provide better services to you.
Disclosure of Information
As permitted by law, we may disclose some or all of the information we collect, as described under “Information We Collect,” to unaffiliated third parties to service your account and to provide services you request. Such unaffiliated third parties include:
Companies that provide financial services, such as broker-dealers, banks, mutual fund companies and insurance companies.
Others who provide services to us, such as parties who provide technical support for our hardware and software systems as well as government agencies and other parties as permitted or required by applicable law.
Protection of Your Information
We restrict access to nonpublic personal information about you to those employees who need to know that information to provide our services to you. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your nonpublic personal information. We do not sell personal information and we do not share your personal information with other parties except in the limited circumstances discussed above.
No mobile information will be shared with third parties/affiliates for marketing/promotional purposes. All other categories exclude text messaging originator opt-in data and consent; this information will be not shared with any third parties.
The firm does not share customer non-public financial information with non-affiliated companies unless to service the customer's account. Generally, information provided to the firm by a customer or potential customer in the normal course of business is considered nonpublic personal information. Non-public personal information also includes any list, description or other grouping of customers that is derived from financial information that is not publicly available. Public information is information that the firm reasonably believes can be obtained from three sources:
Federal, state, or local government records
Widely distributed media; or
Disclosures to the general public that are required to be made by federal, state, or local law.
In accordance with the firm’s privacy policy, the firms Investment Advisor Representatives are prohibited from disclosing customer non-public information to non-affiliated third parties, unless to service the client's account, and as permitted by law. The firm's Investment Advisor Representatives are required to treat non-public information in a confidential manner. The following procedures shall be followed:
Access to customer non-public information shall be restricted to only those individuals who are authorized to come in contact with such information provided by customers in order to help process transactions and provide services to customers.
Non-public customer information shall only be used to service the client's account.
Customer new account forms and other related account documentation shall be maintained in a secure location and not left in an unprotected manner for others to use, read or copy. This includes both physical and electronic safeguards.
Physical, Electronic and Procedural Safeguards: Access to nonpublic personal information shall be limited by physical, electronic and procedural safeguards. Investment Advisor Representatives in possession of client sensitive information are responsible for maintaining safeguards that address current threats to safeguarding client sensitive information
Continued Protection of the Privacy of Former Clients
Even if you are no longer our client, our privacy policy still applies to you.