What Information We Collect
The types of personal information we collect and share depend on the product or service you have with us. This information may include:
- Social Security number and income
- Account balances and assets
- Transaction history
Reasons for Sharing Your Information
All financial companies need to share customers’ personal information to conduct their everyday business. Below are the reasons RGWM may share your information and whether you can limit this sharing:
| Reason for Sharing | Does RGWM Share? | Can You Limit This Sharing? |
| For our everyday business purposes (e.g., to process transactions, maintain accounts, respond to court orders, or report to credit bureaus) | Yes | No |
| For our marketing purposes (e.g., to offer our products and services to you) | Yes | No |
| For joint marketing with other financial companies | No | Not Applicable |
| For our affiliates' everyday business purposes (e.g., information about your transactions and experiences) | No | Not Applicable |
| For our affiliates' everyday business purposes (e.g., information about your creditworthiness) | No | Not Applicable |
| For our affiliates to market to you | No | Not Applicable |
| For non-affiliates to market to you | No | Not Applicable |
How We Protect Your Information
RGWM employs security measures that comply with federal law to protect your personal information from unauthorized access and use. These measures include:
- Computer safeguards
- Secured files and buildings
How We Collect Your Information
We collect your personal information in various ways, such as when you:
- Open an account
- Deposit money
- Seek investment advice
- Enter into an investment advisory contract
- Inform us about your investment or retirement portfolio or earnings
We may also collect your personal information from other companies.
Your Rights to Limit Sharing
Federal law gives you the right to limit only:
- Sharing for affiliates’ everyday business purposes (information about your creditworthiness)
- Affiliates from using your information to market to you
- Sharing for non-affiliates to market to you
State laws and individual companies may provide additional rights to limit sharing.
Special Cases for Joint Accounts
If you limit sharing for an account held jointly with someone else, your choices will apply to everyone on the account.
Definitions
- Affiliates: Companies related by common ownership or control. They can be financial and nonfinancial companies. We have no affiliates.
- Nonaffiliates: Companies not related by common ownership or control. They can be financial or nonfinancial companies. We do not share with nonaffiliates so they can market to you.
- Joint Marketing: A formal agreement between nonaffiliated financial companies that together market financial products or services to you. We do not jointly market.
Questions
If you have any questions about this notice or need to limit our sharing, please call us at (832) 789-1100 or email us at service@rgwealth.com.
