Privacy Policy


Registered Advisor Services, LLC
Privacy Policy
Effective: April 1, 2011

Our Commitment to You

Registered Advisor Services, LLC (“Registered Advisor Services”) is committed to safeguarding the use of your personal information that we have as your consultant. Registered Advisor Services (referred to as “we”, “our” and “us” throughout this notice) protects the security and confidentiality of the personal information we have and make efforts to ensure that such information is used for proper business purposes in connection with servicing your account. Our relationship with you is our most important asset. We understand that you have entrusted us with your private information, and we do everything we can to maintain that trust.

We do not sell your non-public personal information to anyone. Nor does Registered Advisor Services provide such information to others except in the instance where you have provided us with your prior approval.

Details of our approach to privacy and how your personal non-public information is collected and used are set forth in this privacy policy.

The Information We Collect About You

You typically provide personal information when you complete the paperwork required to become our Client and also through the process of our registration of your new firm and for ongoing compliance services. This information will include the following:

  • Name and address
  • E-mail Address
  • Phone Number
  • Social security or taxpayer identification number

In addition, we may collect non-public information about you from information you may provide to us during the course of our working client relationship.

Information about You That Registered Advisor Services Shares

Your non-public personal information may also be disclosed to regulators in order to satisfy Registered Advisory Services’ regulatory obligations, and is otherwise required or permitted by law. We may disclose your non-public personal information to companies we hire to help administrate our business. Companies we hire to provide services of this kind are not allowed to use your personal information for their own purposes and are obligated either contractually or by adherence to our privacy policy to maintain strict confidentiality. We limit their use of your personal information to the performance of the specific service we have requested. To repeat, we do not sell your non-public personal information to anyone.

Information about Former Clients

Registered Advisor Services does not disclose, and does not intend to disclose, non-public personal information to non-affiliated third parties with respect to persons who are no longer our clients.

Confidentiality and Security

We respect the confidentiality of our customers’ non-public personal information. Additionally, we maintain procedural and electronic safeguards in an effort to protect the information from access by unauthorized parties.

We’ll keep you informed

Our privacy policy will be continuously posted to our website. Periodically we may revise our privacy policy, and will provide you with a revised policy if the changes materially alter the previous privacy policy. We will not, however, revise our privacy policy to permit the sharing of non-public personal information other than as described in this notice unless we first notify you and provide you with an opportunity to prevent the information sharing. If you have any questions concerning our Privacy Policy you may contact (603) 292-6772.