Hake Investments, Inc. Privacy Policy
Updated January 1, 2010
Hake Investments, Inc. provides a variety of investment advisory and financial planning services to clients. According to federal law, Hake Investments, Inc. is required to communicate our policies related to the privacy of our customer information. We are proud of our privacy protection practices and procedures and we want you to know how we protect your information and use this information to service your account. Please take a moment to review our policy as described below:
In order to facilitate the servicing your account, Hake Investments, Inc. may receive nonpublic personal information about you from the following sources:
- Information we receive from you on questionnaires, applications, account opening documents, other forms and legal documents:
- Information about your transactions with us or others;
- Information we receive from a consumer reporting agency and
- Information we received from other sources with your consent.
We do not disclose any nonpublic information about you to anyone, except as permitted by law, or as required in the servicing of your account and the effectuation of transactions on your behalf. Such disclosures may include but are not limited to the following:
- Disclosures to affiliates, including affiliated service providers (for example, insurance agencies for processing of insurance applications on your behalf or mutual fund companies for the proessing of mutual fund transactions and servicing);
- Disclosures to another broker/dealer firm (for example, to establish a brokerage account on your behalf);
- Disclosures to government agencies, securities regulators and law enforcement officials (for example, for tax reporting, under a court order to protect our legal rights or other routine audits);
- Disclosures to other organizations, with your consent (for example, other investment advisor firms in order to open a managed account with their firm or the brokerage firm they utilize); and
- Disclosures to other person you authorize to obtain such information (for example, a family for whom you have requested, in writing, that we provide statement copies, a person who has documented power of authority over your accounts, or a CPA who will be preparing your tax return.)
Hake Investments, Inc. restricts access to your personal and account information to those of its employees on a need to know basis and physical, electronic, and procedural safeguards to protect your nonpublic personal information.