STONEBRIDGE ADVISORS LLC
PRIVACY POLICY
Stonebridge Advisors LLC (“Stonebridge”) values our relationship with our clients and considers privacy an important priority in maintaining that relationship. We are committed to protecting the security and confidentiality of our clients’ personal information.
SOURCES OF INFORMATION
We collect nonpublic personal information about our clients from the following sources:
- Information we receive from our clients, or their broker-dealer, investment adviser or financial representative through interviews, applications, agreements or other forms
- Information about our clients’ transactions with us, our affiliates or others
- Information we receive from inquiries by mail, e-mail or telephone
INFORMATION COLLECTED
The type of data we collect may include client name, address, social security number, age, financial status, assets, income, tax information, retirement and estate plan information, transaction history, account balance, payment history, investment objectives, marital status, family relationships and other personal information.
DISCLOSURE OF INFORMATION
We do not disclose any nonpublic personal information about current or former clients except as permitted by law. These permitted uses include the disclosure of such information to unaffiliated financial service providers and other companies for the following reasons:
- In order to provide our clients with products and services and to effect transactions that our clients request or authorize, we may disclose personal information as described above to unaffiliated financial service providers and other companies that perform administrative or other services on our behalf, such as transfer agents, custodians and trustees, or that assist us in the distribution of investor materials such as trustees, banks, financial representatives, proxy services, solicitors and printers.
- We may also release such information if directed to do so by our clients, if we are compelled by law to do so, or in other legally limited circumstances (for example, to protect an account from fraud).
CONFIDENTIALITY AND SECURITY
With regard to our internal security procedures, Stonebridge restricts access to all nonpublic personal information to those Stonebridge employees who need to know that information to provide products or services. We maintain physical, electronic and procedural safeguards to protect our clients’ nonpublic personal information.
POLICY UPDATES AND INQUIRIES
As required by federal law, we will notify our clients of our privacy policy annually. We reserve the right to modify this policy at any time; however, if we do change it, all clients will be notified promptly. For questions about our policy, please contact us at 1-203-762-0004.
January 2008