Heron Wealth Privacy Policy - downloadable PDF

Heron Wealth is committed to maintaining the confidentiality, integrity and security of the personal information that is entrusted to us.  Statutes and regulations obligate us and our personnel to maintain and preserve the confidentiality of client and investor nonpublic personal information. We seek to comply with applicable law by providing clients and investors who are natural persons with necessary initial, annual, and revised “clear and conspicuous” notices describing our privacy policies and practices. These policies and practices include:

  1. Description of the types of nonpublic personal information that we collect

  2. Description of the manner in which we collect the information

  3. Explanation of the conditions under which we may disclose nonpublic personal information to third parties

The categories of nonpublic information that we collect from you may include information about your personal finances, information about your health to the extent that it is needed for the financial planning process, information about transactions between you and third parties, and information from consumer reporting agencies, e.g., credit reports. We use this information to help you meet your personal financial goals.

With your permission, we disclose limited information to attorneys, accountants, and mortgage lenders with whom you have established a relationship. You may opt out from our sharing information with these nonaffiliated third parties by notifying us at any time by telephone, mail, fax, email, or in person. With your permission, we share a limited amount of information about you with your brokerage firm in order to execute securities transactions on your behalf.

We maintain a secure office to ensure that your information is not placed at unreasonable risk. We employ a firewall barrier, secure data encryption techniques and authentication procedures in our computer environment.

We do not provide your personal information to mailing list vendors or solicitors. We require strict confidentiality in our agreements with unaffiliated third parties that require access to your personal information, including financial service companies, consultants, and auditors. Federal and state securities regulators may review our Company records and your personal records as permitted by law. Personally identifiable information about you will be maintained while you are a client, and for the required period thereafter that records are required to be maintained by federal and state securities laws. After that time, information may be destroyed.

We will notify you in advance if our Privacy Policy is expected to change. We are required by law to deliver this Privacy Policy to you annually, in writing.

If you have any questions or concerns, please contact us by telephone at: 800 99-HERON or 347 580-5280 or by email at: DavidEdwards@HeronWealth.com, or from our website at https://heronwealth.com/privacy-policy.