At Emerson Equity, maintaining the trust and confidence of our clients is a high priority. That is why we want you to understand how we protect your privacy when we collect and use information about you, and the steps we take to safeguard that information.

INFORMATION COLLECTED

In connection with providing investment products, financial advice, or other services, we obtain non-public personal information about you, including:

  • Information we receive from you on account applications or other forms
  • Information received from credit, service bureaus or other third parties
  • Information about your transactions with us or others, including your financial adviser

INFORMATION DISCLOSED

We will not disclose information regarding you or your account with us, except under the following circumstances:

  • To your authorized Registered Representative and his or her manager
  • To establish or maintain an account with an unaffiliated third party, such as a clearing broker providing services to you and/or Emerson Equity
  • To government entities or other third parties in response to subpoenas or other legal process as required by law

SECURITY POLICY

Only those individuals who need it to perform their jobs are authorized to have access to confidential client information. We maintain physical, electronic, and procedural security measures that comply with applicable state and federal regulations to safeguard confidential client information.

CLOSED OR INACTIVE ACCOUNTS

If you decide to close your account(s) or become an inactive customer, we will adhere to the privacy policies and practices as described in this notice.

COMPLIANT NOTIFICATION

Your satisfaction is very important to us. Please direct any complaints to: Emerson Equity LLC, 155 Bovet Road, Suite 725, San Mateo, CA 94402, (650) 312-0200.

PRIVACY POLICY CHANGES

If we make substantial changes in the way we use or disseminate confidential information, we will notify you.

Securities offered through Emerson Equity LLC, member FINRA / SIPC. This is not an offer to buy or an offer to sell securities. Securities investing carries an inherent risk of loss of some or all of the principal invested. We are not tax professionals. You should always discuss your investments with a tax professional prior to investing. Securities are sold only in those states where Emerson Equity LLC is registered. Irvine Advisors LLC and Emerson Equity LLC are not affiliated.