Broker Check

Our Privacy Policy

Vantage is committed to protecting the confidentiality and security of our clients’ non-public personal information. We do not share or disclose any non-public personal information about current or former clients, except as required or permitted by law. All information will remain confidential.

We do not sell or disclose our clients’ non-public personal information to non-affiliated third party marketing companies.

Information We Collect

We collect personal information about our clients from a variety of sources to help us serve their financial
needs, offer products and services and satisfy our legal and regulatory requirements.

We collect information provided by our clients or on behalf of our clients on applications and forms as well as through personal discussions. This information may include, but is not limited to: social security number, name, address, date of birth, assets, income, beneficiaries, employment, health and other financial information.

We may acquire information regarding our clients’ accounts and transaction history, including products and services, balances and payment history, and information as to their credit worthiness and history from our affiliates, unaffiliated service companies and consumer reporting agencies.

We receive information from other unaffiliated third parties, including employers, associations, benefit plan sponsors, financial aggregators and other institutions and individuals, including from institutions where clients have had a relationship.

Information We May Disclose

We may disclose information we collect as required to conduct our business and as permitted or required by law with our affiliates or in connection with joint marketing agreements which we may enter into with third parties. We may share information about our clients with unaffiliated financial institutions such as our broker-dealer, clearing firm, investment advisors, third party administrators, plan sponsors, mutual funds, insurance companies or agencies, solicitors and other third parties who assist us in providing account or related services to our clients. We may share information with non-financial companies that provide services to us such as customer reporting agencies and consulting firms.

We may share client information with auditors, regulators, non-regulatory licensing/registration entities and law enforcement organizations, including in response to court orders, subpoenas or inquiries, or as permitted by law.

 

Data Safeguarding

Vantage will internally safeguard client non-public information by restricting access to only those employees who provide products or services to those clients or those who need access to client information to service their account. In addition, we will maintain physical, electronic and procedural safeguards that meet federal and/or state standards to guard client non-public personal information

6200 Rockside Road ▪ Cleveland, OH 44131 ▪ 216.642.7878

UPDATED 04/10/2015