At Mosher Financial Group, we strive for complete customer satisfaction, which includes respecting your privacy.

In efforts to do so, we designed this notice explaining our policies and procedures concerning the collection and handling of your personal information. Furthermore, we will continue to keep you informed of our privacy policy annually.

What We May Collect

Mosher Financial Group, (“Mosher”) and its affiliates are committed to safeguarding customer personal and financial information in the strictest confidence.

In order to provide you with individualized service, we collect certain public and nonpublic personal information about you that you provide on applications or other forms, whether in writing, in person, by telephone, electronically or by any other means, as well as information about your account.

This may include your:

  • Name
  • Address
  • Phone number
  • Date of birth
  • Social Security number
  • Assets
  • Income
  • Purchases/Sales
  • Account balances

How Your Personal Information Will Be Handled

We collect this data in hopes that we may continue to offer you the products and services you need to help meet your investment objectives and to effect, administer or enforce transactions you authorize. We do not sell your information to anyone.

Effective April 30, 2008, Mosher’s sharing policy will be as follows:

To better serve you, we may disclose your information to:

  • Our independent contractor advisors, their affiliated businesses, clearing firms, insurance companies, mutual funds, third-party administrators, brokers/dealers and investment advisors that provide services to you on our behalf, and subsidiary affiliates that have been organized to assist in the conduct of our business, and as otherwise permitted by law. Furthermore, we may disclose the data we collect to companies that perform administrative or marketing services on our behalf, such as transfer agents or printers. These companies will use this data only for the services for which we hired them and are not permitted to share or use this information for any other purpose.
  • Your employer with respect to employer retirement plan assets only, as applicable.
  • Your financial advisor (“FA”) upon leaving Mosher to join another firm, as described below:
    • We recognize that you have elected to open accounts with us due to your relationship with your FR. If he/she elects to leave Mosher for another registered broker/dealer or registered investment advisor, we may allow your FA to take your information to the new firm, subject to the requirements or limitations of applicable law.In the future, should your FA decide to leave Mosher for another firm, we will notify you at that time in writing so that you may determine whether to opt out or opt in* to allow your FA to take your information to the new firm.*If you reside in the state of Alaska, California, Illinois, Maine, Massachusetts, Missouri, New Hampshire, North Dakota or Vermont, we are required to obtain your written approval to allow your FR to take your information to a new firm.

Personally identifiable information about you will be maintained, by Mosher, during the time you are our client and for any additional time thereafter as required by federal and state laws. Mosher reserves the right to disclose your nonpublic personal information to other third parties not exempt by law and not described above, provided we give you 30 days prior written notice, giving you the ability to opt out/opt in at that time.

How We Safeguard Your Information:

With regard to our internal security procedures, we restrict access to your personal and account information to those employees and FAs who need to know. We maintain physical, electronic and procedural safeguards to protect your nonpublic personal information.

How We Protect You Online:

Our concern for the privacy of our clients also extends to those who utilize our website. Mosher is the sole owner of the information collected on this site. We will not sell, share or rent this information to others in ways not disclosed in this statement.

What You Can Do:

For your protection, we recommend that you do not provide your account information to anyone. If you become aware of any suspicious activity relating to your account, please contact us immediately. If you have questions about our policy or require additional copies of this notice, please call your FA.