Market Street Wealth Management Advisors, LLC (“MSWMA”) maintains physical,
electronic, and procedural safeguards that comply with federal standards to protect its clients’
nonpublic personal information (“information”). Through this policy and its underlying
procedures, MSWMA attempts to secure the confidentiality of customer records and information
and protect against anticipated threats or hazards to the security or integrity of customer
records and information.
It is the policy of MSWMA to restrict access to and/or the sharing of all current and former
clients’ information (i.e., information and records pertaining to personal background [including
social security number and address], investment objectives, financial situation, financial
planning issues, tax information/returns, investment holdings, account numbers, account
balances, etc.) to those employees and affiliated/nonaffiliated entities who need to know that
information in furtherance of the client’s engagement of MSWMA.
MSWMA shall disclose, as necessary, the client’s information: (1) to unaffiliated service
providers and vendors in furtherance of establishing, maintaining, and reporting on the client’s
MSWMA relationship (i.e., broker-dealer, account custodian, record keeper, technology,
performance reporting, customer relationship management software [CRM], proxy voting,
insurance, independent managers, sub-advisers, etc.); (2) required to do so by judicial or
regulatory process; or (3) otherwise permitted to do so in accordance with applicable federal
and/or state privacy regulations.
However, MSWMA does not, and shall not, disclose or share information with any
affiliated or unaffiliated persons, entities or service providers for marketing or any other
purposes or reasons not referenced above.
ANY QUESTIONS OR CONCERNS: Should you have any questions regarding the above,
please contact Katie J. Fischer, Chief Compliance Officer.