EQIS Capital Management, Inc. (“EQIS”) provides this Privacy Notice to explain what private, non-public information EQIS obtains and how and when EQIS uses this information.
EQIS has a long tradition of maintaining client trust; the confidentiality of personal information is paramount. We maintain high standards to safeguard your personal information. We will remain vigilant and professional in protecting that information and in using it in a fair and lawful manner.
Safeguarding Customer Information and Documents
To conduct regular business, EQIS may collect non-public customer data/personal information which may include your social security number, account numbers and balances, income, age and other non-public information (NPI) necessary to assist you with your investment needs and service your account. EQIS gathers this information at account opening and may request periodic updates as necessary. The information may be provided to EQIS via forms and in documentation provided to EQIS by clients (or through their financial professionals) for evaluation, account opening, investment management, or for other purposes as may be necessary to service the client’s needs.
EQIS has established policies and procedures to safeguard your personal information by restricting access to only those employees who provide products or services to you or those who need access to your information to service your account. In addition, EQIS maintains physical, electronic and procedural safeguards that meet federal and/or state standards to guard clients’ NPI.
Sharing Non-Public Personal and Financial Information
EQIS shares non-public information only when required to service client accounts. Otherwise, EQIS does not disclose any client (including former client) non-public personal information to anyone, except as may permitted by law, or is otherwise disclosed herein. EQIS will not share non-public information with third parties for marketing purposes.
EQIS will not share your non-public information with any affiliated or unaffiliated third party except:
The account custodian with whom the client has entered into an agreement, when opening an account or when necessary to complete transactions in a client account;
To service and/or maintain your account or to resolve a dispute or inquiry;
As required by regulatory authorities or law enforcement officials who have jurisdiction over EQIS, or as otherwise required by any applicable law; or
To protect the confidentiality or security of the financial institution's records against fraud and for institutional risk control purposes Pursuant to any other exceptions enumerated in the California Financial Information Privacy Act.
It is not a policy of EQIS to share nonpublic personal and financial information with unaffiliated third parties except under the circumstances noted above. Since sharing under the circumstances noted above is necessary to service client accounts or is mandated by law, there are no allowances made for clients to opt out.
Additional Information about EQIS
Additional information about EQIS and your account can be obtained by reviewing our Wrap Fee Brochure which is available on the SEC’s website at www.adviserinfo.sec.gov. You can search this site by a unique identifying number, known as a CRD number. Our firm’s CRD number is 126052. Alternatively, you can request additional information by contacting your financial professional or contact EQIS directly at 800-949-9936 or by writing to firstname.lastname@example.org.