Phillips & Company is committed to protecting the privacy of our clients. The policies and procedures detailed herein were designed in cooperation with the SEC Privacy Regulation S-P, effective November 13, 2000. Phillips & Company is pleased to inform you of its policies and practices to protect your personal information.
How the policies apply to you
The policies and procedures described herein apply to our relationships with our individual clients who inquire about and/or obtain products or services from Phillips & Company.
Strict security measures
It is the policy of Phillips & Company not to share or sell any client's personal information with non-affiliated third parties. These policies exist for both our physical facilities and our online services. The firm has maintained policies regarding the removal of client information from the firm for many years.
Limited employee access
To protect our clients, the firm has policies and procedures in place to limit employee access to client information for use other than executing the business of Phillips & Company. These policies are written into each employee's employment agreement and employee manual and are reiterated at least annually. We take appropriate measures to enforce employee responsibilities regarding customer information.
Why we collect information
Phillips & Company collects information regarding our clients in an effort to provide better service. This information helps us to:
- Accurately identify our client’s investment objectives
- Protect your account(s), records and funds
- Create and improve the products that we offer
- Save time
- Comply with certain laws and regulations
Categories of nonpublic personal information that we collect
Phillips & Company may collect nonpublic personal information about you from the following sources: Your account opening documentation, applications or other forms, which include name, address, phone number, social security number, and date of birth, your transactions with us, our affiliates and others; information from non-affiliated third parties, such as your credit history; and information for special services offered by our clearing agent.
Phillips & Company is committed to servicing your investment needs. That commitment includes the protection of the information continually gathered throughout our relationship with you. An open exchange of information between our clients and the firm assists in helping us achieve your long-term investment goals.
We will also, on occasion, share public and non-public information about you and your transactions with Federal or State regulators as well as Securities Industry Self-Regulatory organizations. These disclosures may be made during routine audits or pursuant to special requests of any Federal, State or Self-Regulatory organization.
For more information
If you would like more information about this policy and how it applies to you, feel free to contact our Compliance Department at (800) 572-4765.
Your relationship with Phillips & Company is one way for you to gain access to complete, customized financial solutions. As always, we appreciate your continued trust and confidence.