This notice is for your information. No Response is required.

We Respect Your Privacy

We Respect Your Privacy
Capital Analysts Incorporated (CAI) and its affiliates have always placed a high value on the trust and confidence our clients place in us. We believe that confidence must be earned and validated through time. In today’s world, when technology allows sharing of information at light speeds, trust must be backed up by our sincere pledge to take the steps necessary to ensure that the information you share with us is treated with respect and confidentiality.

Our Pledge to Our Clients

  • We collect only the information we need to serve you and administer our business.
  • We are committed to keeping your information confidential and we place strict limits and controls on the use and sharing of your information.
  • We make every effort to ensure the accuracy of your information
  • We collect, retain and use customer information to aid in providing you with the most appropriate recommendations possible and to believe it will help us provide an better customer service experience.
  • This information comes to us from a variety of sources which can include information you provide on applications or forms such as your name, address, social security number, date of birth, income level, beneficiaries or trustees, and information about your account transactions with us (such as purchases, sales and account balances).

We Place Strict Limits and Controls on the Use and Sharing of Your Information
We do not disclose any non public personal information about you to anyone, except as permitted by law. Specifically, so that CAI and/or our registered associates may continue to offer you products and services that best meet your investing needs, and to effect transactions that you request or authorize, we may disclose the information we collect, as described above, to companies that perform administrative or marketing services on our behalf, such as product sponsor companies, National Financial Services, LLC (our clearing company), reporting agencies (pursuant to Anti-Money Laundering requirements), transfer agents, or printers and mailers that assist us in the distribution of investor materials. As stated in our agreements, these companies will use this information only for the services for which we have specified, and are not permitted to use or share this information for any other purpose.

  • Only authorized employees who require the information to administer your business have access to non public personal information about you.
  • We maintain physical, electronic and procedural safeguards that comply with federal standards to protect this information.
  • We do not disclose any non public personal information about our clients or former clients to anyone except as required or permitted by law or as described in this document.
  • Under no circumstances do we sell any information to any person or entity.
  • If you decide at some point to close your account or become an inactive client, we will continue to adhere to the privacy policies and practices described in this notice.

We May Provide Information to Service Your Account
Sometimes it is necessary to provide information about you to an entity that we have a joint marketing agreement with. We may do this when it assists us in providing service to you.

These organizations have a legitimate business need to see some of your personal information in order to complete the transactions that you request. We may disclose to these service providers the information that we collect as described previously. In accordance with the Gramm-Leach Bliley Act, our joint marketing agreements require the third party to maintain the confidentiality of the information. In addition to maintaining confidentiality, we require that these companies, including our own affiliates, strictly abide by all applicable laws including the Fair Credit Reporting Act and California Senate Bill 1 (SB 1). This policy is applicable to Capital Analysts Incorporated, modified June 1, 2007 and is available at www.capitalanalysts.com.

Important Additional Information Relating to Product Compensation

Important investor information, including Product Compensation and Business Continuity, can be viewed on CAI’s website at www.capitalanalysts.com under the “Investor Information” tab.

This policy is applicable to Capital Analysts Incorporated, modified June 1, 2007.

Last Modified: June 30, 2008