Privacy Notice

We at Duncan Williams Asset Management, LLC. recognize the importance of protecting the confidentiality of nonpublic personal information that we collect about our customers.  The information is used to ensure accuracy in reporting and recordkeeping, to maintain our customers’ accounts, and to carry out requested transactions.  Keeping this information secure is a top priority for us, and we are pleased to share with you our privacy policy.

Information We Collect

We collect nonpublic personal information about our customers from the following sources:

  • Application or other forms (such as name, address, social security number, assets, investment objectives, experience, employment information and income).
  • Customers’ transactions with us, their financial organizations, or others.
  • We also collect personal information from others such as custodians.

How Information is Used

We may disclose nonpublic personal information about our customers in order to provide them with products, services and offerings.  Such information will be provided to non-affiliated third parties with whom we have contracted to perform services on our behalf, such as printing, mailing, fraud prevention, and data processing services, as well as nonaffiliated financial organizations with which we have custody agreements.  We may disclose all of the information that we collect, as described above.  We may also disclose nonpublic personal information about our customers as permitted or required by law.

We do not disclose nonpublic personal information about former customers, except as permitted or required by law.

Safeguarding of Information

We have procedures in place that are reasonably designed to protect the security and confidentiality of your information.  Our internal data security policies restrict access to nonpublic personal information to authorized employees.  We maintain physical, electronic and procedural safeguards that are designed to comply with federal standards to guard our customers’ nonpublic personal information.  Employees who violate our data security policies are subject to disciplinary action, up to and including termination.