Your privacy is important to us, and maintaining your trust and confidence is one
of our highest priorities. A recent law change requires us (along with banks, brokerage
houses, and other financial institutions) to disclose our Privacy Policy to you.
Of course, The Retirement Plan Company, LLC has always protected your right to privacy
with professional standards that are even more stringent than those required by
law. We hope that by taking a few moments to read it, you will have a better understanding
of what we do with the information you provide us and how we keep it private and
secure.
A. Types of Information We Collect
We collect certain personal information about you - but only when that information
is provided by you or is obtained by us with your authorization. We use that information
to provide various retirement planning services to you at your request.
Examples of sources from which we collect information include:
- interviews and phone calls with you
- letters or e-mails from you
B. Parties to Whom We Disclose Information
As a general rule, we do not disclose personal information about our clients or
former clients to anyone. However, certain nonpublic information about you may be
disclosed in the following situations:
- To comply with a validly issued and enforceable subpoena or summons.
- In the course of a review of our firm’s practices under the authorization of a state
or national licensing board, or as necessary to properly respond to an inquiry or
complaint from such a licensing board or organization.
- In conjunction with a prospective purchase, sale, or merger of all or part of our
practice, provided that we take appropriate precautions (for example, through a
written confidentiality agreement) so the prospective purchaser or merger partner
does not disclose information obtained in the course of the review.
- As a part of any actual or threatened legal proceedings or alternative dispute resolution
proceedings either initiated by or against us, provided we disclose only the information
necessary to file, pursue, or defend against the lawsuit and take reasonable precautions
to ensure that the information disclosed does not become a matter of public record.
- To provide information to affiliates of the firm and nonaffiliated third parties
who perform services or functions for us in conjunction with our services to you,
but only if we have a contractual agreement with the other party which prohibits
them from disclosing or using the information other than for the purposes for which
it was disclosed. (Examples of permitted disclosures to third parties include our
retirement plan software provider or a recordsretention agency to store prior year
records.)
C. Confidentiality and Security of Nonpublic Personal Information
Except as otherwise described in this notice, nonpublic personal information about
you is accessed only by employees of our firm on an as-needed basis and other parties
who must use that information to help provide services to you. Their right to further
disclose and use the information is limited by the policies of our firm, applicable
law, and nondisclosure agreements where appropriate. We also maintain physical,
electronic, and procedural safeguards to protect your information.
Thank you for allowing us to serve your retirement planning needs. We value your
business and are committed to protecting your privacy. We hope you view our firm
as your trusted adviser and we will work to continue earning your trust. Please
call us if you have any questions or if we can be of further service.
The Retirement Plan Company, LLC