We collect nonpublic personal information about you from the following sources:
- Information we receive on applications, questionnaires or other forms
- Information about your transactions with us, our affiliates or others
As required by the USA PATRIOT ACT, we will obtain copies of your driver’s license or state identification in order to verify your identification.
We do not disclose any non-public information about our current or former clients to anyone, except as permitted by law or in order to provide the current services. Our employees have limited access to your personal information based on their responsibilities to provide products or services to you. Be assured that we maintain physical, electronic and procedural safeguards in compliance with federal standards to protect the confidentiality, security, and integrity of nonpublic personal information collected.
We may disclose information about or current or former clients in order to comply with legal or regulatory authorities or pursuant to a court order or subpoena.
Affiliation between DLG Wealth Management, LLC and Etico Partners, LLC.
Etico Partners, LLC (f/k/a M.J. Whitman LLC), a broker/dealer registered with the Securities and Exchange Commission (SEC) and a member of the Financial Industry Regulatory Authority (FINRA), is affiliated with DLG through common ownership and control. Many of our customers have accounts with both DLG and Etico. If you have an account with DLG or Etico, we may disclose your information to our affiliated entity. This exchange of information allows us to service you and your account.