Commitment to privacy
Sam Gott, Registered Investment Advisor respects your privacy and is committed to maintaining the confidentiality of your personal and financial information.
Client information that we collect
We collect information about you that is required to establish and maintain your account as the law (or regulations) requires or allows us to collect. We do not share or redistribute your personal information other than as necessary to service your account. Under no circumstances do we sell or rent your information.
The information from your application is retained so that your account may be serviced properly. This information includes names, address, social security number, birth date, telephone numbers, marital status, investment objectives, annual income, investment experience, employment, number of dependents, and in the case of some insurance applications, smoking status, driving status, driver’s license number, insurance history, medical history, and physician information. Depending upon the type of services requested, you may also be asked to provide financial information such as a financial needs profile, risk tolerance analysis and other information that assist in determining more detailed aspects of suitability when the products or services being considered require a more in-depth profile to determine whether they are appropriate.
Information about you may be received from verification services and consumer reporting agencies to help ensure the accuracy of application data, or to assess credit worthiness if you apply for credit products. Information is also received from other institutions (for example, if you are transferring an account).
Transaction Information
We maintain records of your transactions including the security, the date, the amount purchased, price, dollar amount of the transaction and any other information that may be pertinent to the transaction.
Information that we share in order to serve your needs
Access to your information is restricted to those who require that access in order to provide products and services to you. We may share the personal information that we collect about you with:
How we protect your information
We safeguard your information. We restrict access to your information physically and electronically. National Financial Services, L.L.C., our clearing firm provide our electronic safeguards. These systems are regularly adapted to respond to changing requirements and advances in technology.
Please call me if you have any further questions regarding our privacy policies.
Sam Gott, Registered Investment Advisor
4 Dominion Drive
Building 3, Suite 250
San Antonio, Texas 78257
Ph. 210-849-7772
Fax 210-881-6832
sam@sgria.com **
www.sgria.com
** We do not buy or sell securities by email; purchasing or selling of securities must be done by telephone, with verification, or in person.
Securities offered through Dominion Investor Services, Inc. Member FINRA/SIPC
Certified Financial Planner Board of Standards, Inc. owns the certification marks CFP(R), CERTIFIED FINANCIAL PLANNER(tm) and federally registered CFP (with flame logo) in the U.S., which it awards to individuals who successfully complete CFP Board's initial and ongoing certification requirements.
Design by Lynn-Douglas Media
4 Dominion Drive
Building 3, Suite 250
San Antonio, TX 78257
sam@sgria.com
Ph. (210) 849–7772 • Fax (210) 881-6832