What We Collect. We 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 and account balances.
How Your Personal Information Will Be Handled. We collect this data to continually 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.
To better serve you, we may disclose your information to:
- Our independent contractor financial professionals, their affiliated businesses, clearing firms, insurance companies, mutual fund companies, third-party administrators, other broker-dealers, investment financial professionals and other such entities that provide services to you on our behalf.
- Affiliates that have been organized to assist in the conduct of our business, and as otherwise permitted by law.
- 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 professional upon leaving Lincoln Investment or Capital Analysts to join another firm, as described below:
Opting out. If you do not want us or your financial professional to share your personal financial information with the New Firm should he/she leave us, you have the right to opt out of such sharing. If you have a joint account, we will treat an opt-out direction by a joint customer as applying to all associated joint owners If you wish to opt out now or any time in the future, please contact us at 800-242-1421, extension 4770, or by mail at Lincoln Investment Planning, LLC, Attn: Privacy Compliance, 601 Office Center Drive, Suite 300, Fort Washington, PA 19034.
Opting in. If your primary address is in a state that requires your affirmative consent to share your personal information with our former financial professional or the New Firm (namely, Alaska, California, Illinois, Maine, Massachusetts, Missouri, New Hampshire, North Dakota or Vermont), then you must give your written consent before your financial professional will be permitted to share any of your
personal information with the New Firm. You may withdraw your consent at any time by contacting us at 800-242-1421, extension 4770, or by mail at Lincoln Investment Planning, LLC, Attn: Privacy Compliance, 601 Office Center Drive, Suite 300, Fort Washington, PA 19034.
Customers of Financial Institutions: If you are a customer of a bank, credit union, or other financial institution program with which we have a joint marketing agreement (such as under a bank or credit union investment services program) and your financial professional with whom you work pursuant to that program terminates his/her relationship with us and/or the financial institution decides to enter into a relationship with a new financial services provider, we and/or your financial professional will share your information with the New Firm so that your account can continue to be serviced, unless your bank, credit union or other financial institution does not approve of such transfer.
Personal financial information about you will be maintained by us during the time you are our customer and for any additional time thereafter as required by federal and state laws. We reserve the right to disclose your nonpublic personal financial 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.
Important Information for California and Vermont Residents:
California residents: For accounts with a California mailing address, we will not share your personal information with a financial company for joint marketing purposes except as required or permitted by law.
Vermont residents: For accounts with a Vermont mailing address, we will not share your creditworthiness information with our affiliates except as required or permitted by law. For joint marketing with other financial companies, we will disclose only your name, contact information, and information about your transactions, unless otherwise required or permitted by law.
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 designed to protect your nonpublic personal financial information – including training and confidentiality agreements with companies that help provide our services to you.
How We Protect You Online. Our concern for the privacy of our investors also extends to those who utilize our websites. 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 believe the confidentiality of your account information may have been compromised or you become aware of any suspicious activity relating to your account, please contact our Compliance Department immediately at 800-242-1421, extension 4300. If you have questions about our policy or require additional copies of this notice, please call your financial professional.