Hunter Wise Securities, LLC
Disclosures
Hunter Wise Privacy Policy
Hunter Wise requires that our clients provide current and accurate information. Hunter Wise will protect the information you have provided in a manner that is safe, secure and professional. Hunter Wise and its employees are committed to protecting your privacy and to safeguarding that information.
Safeguarding Client Documents
We collect non-public client data in checklists, forms, in written notations, and in documentation provided to us by our clients for evaluation, registration, licensing or related advisory services. We also create internal lists of such data.
During regular business hours access to client records is monitored so that only those with approval may access the files. During hours in which the company is not in operation, the client records will be locked.
No individual who is not so authorized shall obtain or seek to obtain personal and financial client information. No individual with authorization to access personal and financial client information shall share that information in any manner without the specific consent of a firm principal. Failure to observe Hunter Wise procedures regarding client and consumer privacy will result in discipline and may lead to termination.
Sharing Nonpublic Personal and Financial Information
Hunter Wise is committed to the protection and privacy of its clients’ and clients’ information. Hunter Wise will not share such information with any affiliated or nonaffiliated third party except:
  • When necessary to complete a transaction in a client account;
  • When required to maintain or service a client;
  • To resolve client disputes or inquiries;
  • With persons acting in a fiduciary or representative capacity on behalf of the client;
  • With rating agencies, persons assessing compliance with industry standards, or to the attorneys, accountants and auditors of the firm;
  • In connection with a transaction involving the client’s business;
  • To protect against or prevent actual or potential fraud, identity theft, unauthorized transactions, claims or other liability;
  • To comply with federal, state or local laws, rules and other applicable legal requirements;
  • In any circumstances with the client’s instruction or consent; or
  • Pursuant to any other exceptions enumerated in the California Information Privacy Act.
Opt-Out Provisions
It is not a policy of Hunter Wise to share nonpublic financial information with affiliated or unaffiliated third parties except under the circumstances noted above. Since sharing under the circumstances noted above is necessary to service client accounts or is mandated by law, there are no allowances made for clients to opt out.