Advanced Equities Asset Management

Thank you for selecting Advanced Equities Asset Management (AEAM) to provide you with advisory services. Please read this document carefully, as it contains important information about our policies and procedures, the responsibilities of our representatives and related third parties, as well as your rights and responsibilities as an account holder. Once you read this document if you have any questions, please do not hesitate to contact your financial consultant.

YOUR PRIVACY

AEAM requires confidential information so that we can help you meet your personal financial goals. Preserving this confidentiality and your privacy is of the highest importance to us. We hold all personal information provided to us in the strictest of confidence, including information that we collect from you in connection with any of the services we provide.

How We Protect Your Information

1. AEAM does not rent or sell your name or other personal information. We only share information with affiliated and non-affiliated third parties—such as clearing firms—for the purpose of servicing your financial needs. This may include information required to process transactions on your behalf, conduct our operations, follow your instructions as you authorize, market our products and services, and to protect the security of our financial records. We may also disclose certain information as required or permitted under applicable law, for example, to government and regulatory bodies.
2. We restrict access to your personal information to personnel who need that information to service your account or to provide you with our products and services. We share a limited amount of information with our affiliated broker dealers and outside clearing firms in order to execute securities transactions on your behalf, or so that we can discuss your financial situation with your accountant, attorney, or other professionals as designated by you. Additionally, financial consultants that are independent of AEAM but solicit business on our behalf may change brokerage firms and information may be received or taken by your financial consultant to the new firm. If you do not want your financial consultant to transfer this information, please contact our Customer Service at (619) 299-4864 or write our corporate office at 655 West Broadway, Ste. 1050, San Diego, CA 921010 to opt out of this information sharing.
3. We enforce policies and procedures that preserve your privacy. AEAM maintains physical, electronic, and procedural safeguards to protect the security and confidentiality of your information.

The categories of nonpublic personal information that we collect from your account applications and other forms, in interviews, or by other means depend upon the scope of the relationship you have with us, our affiliated broker dealer, and/or your financial consultant. This may include information about your finances and personal profile (such as social security number, annual income and net worth, investment experience), information about your health to the extent that it is needed for the planning process (for insurance applications), and information about transactions between you and third parties (trading history and account balances).

Updates & Effective Date

From time to time, we may update this privacy notice. We will notify you about material changes in the way we treat personally identifiable information by placing a notice on our site. We encourage you to periodically check back and review this policy so that you always will know what information we collect, how we use it, and to whom we disclose it.

The Privacy Notice posted on this site was updated on or about April 27, 2007.