Golden Eagle Capital Advisors, Inc. (“GECA”).
The confidentiality of client information is an important concern of GECA. We take
precautions to safeguard client personal information at all times, and we will remain vigilant in
protecting that information. The provisions of this privacy notice will apply to former clients as
well as current clients.
GECA collects personal information about you that is either required or necessary to provide
you with financial products or services. We may obtain this information from the following
sources: 1. Information we receive from you on account applications, forms and other
information that you provide to us, whether in writing, in person, by telephone or by any other
means. This information may include your name, address, telephone number, social security
number, occupation, assets and income. 2. Information about your transactions with us or a
non-affiliated third party such as account balances, payment history and account activity. 3.
Information we receive from a consumer reporting agency, such as your credit bureau reports
and other information relating to your creditworthiness.
GECA will not disclose nonpublic personal information to affiliates or nonaffiliated third
parties, except as permitted by law, under the following circumstances: 1. Where we believe in
good faith that disclosure is required under law to cooperate with regulators or law enforcement
authorities. 2. To consumer reporting agencies. 3. To our clearing firm and service providers to
help us process your applications or service your accounts. These service providers, in turn, are
required to protect the confidentiality and security of any information we give to them and may
not reuse it for any other purpose.
GECA restricts access to your personal account(s) and information to those employees who
need to know that information to provide products or services to you. We maintain physical,
electronic and procedural safeguards that comply with the industry standards to safeguard your
nonpublic personal information. Third parties who have access to such personal information
must agree to follow appropriate standards of security and confidentiality.
We trust that this clarifies position on client confidentiality, and look forward to being of
service to you in the future.
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For clients of independent financial advisors of Golden Eagle Capital Advisors, Inc. Your
personal information may be shared with certain entities that are owned, controlled by or
affiliated with your financial advisor, such as an independent insurance agency, accounting
firm or independent investment advisory firm. In the event your financial advisor terminates
his or her relationship with us and moves to another financial institution, we or your financial
advisor may disclose your personal information to the new financial institution. Similarly,
should your financial advisor (or his/her estate) agrees with an unaffiliated financial advisor to
sell all or some portion of his/her securities, advisory or insurance business, your personal
information may be shared with the acquiring financial advisor and his/her firm. You have the
right to direct us not to share your personal information as described above. Such instructions
must be provided to us in writing and should be directed to: Compliance 747 Third Avenue 2nd
Floor New York, NY 10017 email@example.com
If your primary address is in a state that requires your affirmative consent to share your
personal information with a new financial advisor and/or financial institution (such as
California, Massachusetts, Maine, New Mexico, North Dakota, or Vermont), then you must
give your written consent before we will allow your personal information to be provided to a
new financial advisor and/or financial institution. Questions concerning GECA’s Privacy
Policy can be directed to Compliance, at firstname.lastname@example.org
If you have any questions or comments, please contact email@example.com
Established: 1st September 2018
Revised: June 2019