Privacy

Rev. 4/2015

FACTS WHAT DOES Stoker Ostler Wealth Advisors, Inc.
DO WITH YOUR PERSONAL INFORMATION?
Why? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.
What? The types of personal information we collect and share depend on the product or service you have with us. This information can include:
  • Social Security Number and Assets
  • Account Balances and Account Transactions
  • Employment Information and Wire Transfer Instructions
How? All financial companies need to share customers' personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers' personal information; the reasons Stoker Ostler Wealth Advisors, Inc. chooses to share; and whether you can limit this sharing.
Reasons we can share your personal information Does Stoker Ostler Wealth Advisors, Inc. share? Can you limit
this sharing?
For our everyday business purposes – such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus. Yes No
For our marketing purposes – to offer our products and services to you Yes No
For joint marketing with other financial companies No We don't share
For our affiliates' everyday business purposes – information about your transactions and experiences No We don't share
For our affiliates' everyday business purposes – information about your creditworthiness No We don't share
For our affiliates to market to you No We don't share
For nonaffiliates to market to you No We don't share
To limit our sharing Call: 480-890-8088 or notify your Portfolio Manager

Please note: If you are a new customer, we can begin sharing your information 30 days from the date we sent this notice. When you are no longer our customer, we continue to share your information as described in this notice. However, you can contact us at any time to limit our sharing.
Questions Call: 480-890-8088
What we do  
How does Stoker Ostler Wealth Advisors, Inc. protect my personal information? To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.
How does Stoker Ostler Wealth Advisors, Inc. collect my personal information? We collect your personal information, for example, when you:

  • Open an account
  • Seek advice about your investments
  • Enter into an investment advisory contract
  • Tell us about your investment or retirement portfolio
  • Direct us to buy securities

We also collect your personal information from other companies.
Why can't I limit all sharing? Federal law gives you the right to limit only

  • sharing for affiliates' everyday business purposes - information about your creditworthiness
  • affiliates from using your information to market to you
  • sharing for nonaffiliates to market to you

State laws and individual companies may give you additional rights to limit sharing. See below for more information on your rights under state law.
What happens when I limit sharing for an account I hold jointly with someone else? Your choices will apply to everyone on your account.
Definitions  
Affiliates Companies related by common ownership or control. They can be financial or non-financial companies.

  • Our affiliates include financial companies with a Bank of Montreal or BMO name; and financial companies such as BMO Harris Bank N.A.
  • Stoker Ostler Wealth Advisors, Inc. does not share with our affiliates.
Nonaffiliates Companies not related by common ownership or control. They can be financial and nonfinancial companies.

  • Stoker Ostler Wealth Advisors, Inc. does not share with nonaffiliates so they can market to you.
Joint Marketing A formal agreement between nonaffiliated financial companies that together market financial products or services to you.

  • Stoker Ostler Wealth Advisors, Inc. does not jointly market.
Other important information
Important Information for California and Vermont Residents: As long as you remain a resident of California or Vermont, we will not share within the BMO family of companies certain information (other than information about our transactions and experiences with you) from your account applications or information we receive from third parties without your authorization. To authorize the sharing of this information within the BMO family of companies, please contact us (see "Questions?" section).

Nevada Residents: Notice provided pursuant to state law. To be placed on our internal Do Not Call List, call 480-890-8088. For more on this Nevada law, contact Bureau of Consumer Protection, Office of the Nevada Attorney General, 555 E. Washington St., Suite 3900, Las Vegas, NV 89101.
Phone number: (702)486-3132; email: BCPINFO@ag.state.nv.us.