Privacy Practices


I, Robert J. Coady of WealthMark Advisory Group, an investment advisory firm, is committed to safeguarding the confidential information of my clients. I do collect nonpublic personal information in order to open and administer your accounts with me and to provide you with accurate and pertinent advice. I hold all nonpublic personal information you provide to me in the strictest confidence. If I were to change the firm policy, I would be prohibited under the law from doing so without advising you first.

You may direct me not to make disclosures (other than disclosures required by law) regarding nonpublic personal information to non-affiliated third parties. If you wish to opt out of disclosures to non-affiliated third parties please contact me at 714.835.2000.

WealthMark Advisory Group collects personal information about you from the following sources:

  • Applications or other forms.
  • Discussions with non-affiliated third parties.
  • Information about your transactions with us or others.
  •  Questionnaires.
  • Tax Returns.
  • Estate Planning Documents.

WealthMark Advisory Group uses your personal information in the following manner:

• WealthMark does not sell your personal information to anyone.

• WealthMark limits employee and agent access to information only to those who have a business or professional reason for knowing, and only to nonaffiliated parties as permitted by law. (For example, federal regulations permit the firm to share a limited amount of information about you with a brokerage firm in order to execute securities transactions on your behalf, or so that WealthMark can discuss your financial situation with your accountant or lawyer.)

• WealthMark will provide notice of changes in our information sharing practices. If, at any time in the future, it is necessary to disclose any of your personal information in a way that is inconsistent with this policy, The firm will give you advance notice of the proposed change so you will have the opportunity to opt out of such disclosure.

•The firm maintains a secure office and computer environment to ensure that your information is not placed at unreasonable risk.

•For nonaffiliated third parties that require access to your personal information, including financial service companies, consultants, and auditors, The firm also require strict confidentiality in our agreements with them and expect them to keep this information private. Federal and state regulators also may review firm records as permitted under law.

•WealthMark does not provide your personally identifiable information to mailing list vendors or solicitors for any purpose.

•Personally identifiable information about you will be maintained during the time you are a client, and for the required time thereafter that such records are required to be maintained by federal and state securities laws. After this required period of record retention, all such information will be destroyed.


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