Client Privacy – Vaughn Henry & Associates

Client Privacy – Vaughn Henry & Associates

June 26, 2001

The recently enacted Financial Services Modernization Act contains certain provisions protecting consumer privacy. As a planner subject to this Act, I am required to tell you how I treat your personal information. This notice describes my privacy policy.

Your privacy is extremely important to me. As you know, many professional advisors are expected to keep all information given to us by clients in confidence. I follow this rule without exception. Protecting your privacy is an integral part of my commitment to providing you with the finest service possible.

What type of information do I collect? In the course of working with you, I may obtain nonpublic personal information about you. This information may be collected in the following ways, depending on the service being provided:

directly from you during meetings, phone calls, correspondence, etc.;

from forms you complete or from forms I complete on your behalf; and

from your transactions with me, affiliates, or other advisors.

To whom do I disclose this information? It is my policy to never disclose information about you to anyone unless the disclosure is necessary to conduct our business and is permitted or required by law. For example, my office staff may occasionally have access to client files in order to carry out my instructions. Another example is when you specifically consent to disclosure, such as when an expert or another advisor is engaged to prepare legal or tax documents, a report, evaluation or plan on your behalf.

How do I protect your privacy? Your information is disclosed to employees or others only on a “need to know” basis. Information is never gratuitously disseminated and we do not share financial information with other firms or companies that may later solicit you. I also maintain physical, electronic and procedural safeguards to protect client information. Information is protected even after the advisor-client relationship has ended.

The Federal Trade Commission regulations provide that this notice must include a provision for you to request that the firm not release your nonpublic personal information. While such a request is unnecessary, because the firm does not disclose your nonpublic personal information in a manner that would allow you to opt out, in the interests of satisfying the regulations, we include this Opt Out Provision.

Please contact me if you have any questions concerning this notice. Thank you for entrusting me with your planning matters. Your confidence in me is sincerely appreciated.


Vaughn W. Henry