Customer Privacy Policy Notice



 


The information contained in this section will also be disclosed in James P. Kniffen Portfolio Management, LLC’s Privacy Policy Statement.  This statement will be provided to all clients in accordance with the rules and regulations of the Gramm-Leach-Bliley Act of 1999.


As a registered investment advisor, James P. James P. Kniffen Portfolio Management, LLC and its investment adviser representatives will gather and develop personal information regarding our clients.  This information will be gathered and developed by us for the following purposes:



  1. To determine the client’s financial goals and objectives
  2. To determine the level of advisory services needed and desired by the client
  3. To provide the client with specific recommendations regarding advisory services
  4. To provide the client with specific recommendations regarding financial products
  5. To provide ongoing support and recommendations regarding financial products held in the client’s account



Client information that James P. James P. Kniffen Portfolio Management, LLC will collect may include, but not be limited to the following:





When a client account is closed, James P. James P. Kniffen Portfolio Management, LLC will continue to keep all client information confidential in accordance with the principles stated in its privacy policy.


A copy of the Privacy Policy Notice will be delivered to all clients in writing by at least one of the following methods:





A copy of the Privacy Policy Notice will be provided to the client no later than the time a client establishes a relationship with James P. James P. Kniffen Portfolio Management, LLC, unless this situation would cause a delay in the client obtaining services and the client agrees to accept the notice at a later date.  When this situation applies, a copy of the Privacy Policy Statement will be delivered to the client within a reasonable time period following the transaction.


Any time a change is made to the Privacy Policy, the statement to clients will be revised.  The revised statement will be given to all affected clients prior to any disclosure of information.  In addition, James P. James P. Kniffen Portfolio Management, LLC will provide a copy of its Privacy Policy Statement to all current and existing clients at least annually.