Who We Are: American Independent Securities Group, LLC (AISG) is an independent broker/dealer, registered investment advisor, and insurance agency. Through our registered representatives we provide financial products and services to the general public. We are providing you with this privacy policy to describe how we collect information about you, under what circumstances we may disclose the information to others, and how we safeguard your information in our possession. As part of our normal business practices, we distribute our policy annually or when significant changes are made to it.
Information We Collect: We collect and use information about you in order to provide you with our financial products and services. For example, we use your information to determine the suitability of our investment recommendations and to process transactions for your account. We obtain most information directly from you when you open an account or purchase products or services from us. We may also obtain information about you from our representatives and their affiliated businesses, and from third parties such as retirement plan sponsors or third-party administrators, mutual fund companies, insurance companies, your former broker-dealer or its registered representative, clearing firm, or others who provide you with financial products and services.
Information We Disclose: We may disclose information about you with our staff, affiliates, representatives, their affiliated businesses, and third parties who provide you with financial products and services. Nonaffiliated third parties may include retirement plan sponsors or third-party administrators, mutual fund companies, insurance companies and agencies, other broker-dealers, and clearing firms.
We may disclose information such as your name, address, social security number, date of birth, transactional information, or other financial information when necessary for us to provide you with financial products and services or report on your account, or where disclosure is prescribed by law. For example, we report your tax related information to federal and state governments, and we may disclose information during the course of an audit or to law enforcement or regulatory agencies. We do not disclose your information to nonaffiliated companies who intend to market their products to you. For example, we will not sell clients’ names and addresses to catalogue or marketing companies.
Our privacy policy is the same for current as well as former clients. If you close your account and are in the process of transferring your investments we may share your information with the new broker-dealer or custodian that you or your representative selects. If our representative servicing your account leaves us to join another broker-dealer, the representative is permitted to retain copies of your information so that he or she can assist with the transfer of your account and continue to serve you at their new firm. The representative’s continuing use of your information will be subject to the new firm’s privacy policy.
Safeguarding Your Privacy: Our staff, affiliates, and representatives who have access to your information are required to follow our procedures reasonably designed to keep your information secure and confidential. Our physical, electronic, and procedural safeguards have been reasonably designed to protect your information.
“Opting-out” of Third-Party Disclosures: If you do not want us to share your information (other than prescribed by law) with any nonaffiliated third parties, including the registered representative servicing your account when he or she leaves us to join another firm, you may contact our Compliance department by calling our toll-free number: 1-(866) 485-4635 or send a letter to: AISG, LLC, Attn: Compliance Department, PO Box 579, Eagle, ID 83616.
Special Notice To Residents Of Massachusetts
The following section supplements our Policy with respect to our individual clients who have a Massachusetts address and supersedes anything to the contrary in the above Policy with respect to those clients only.
The state of Massachusetts requires financial institutions to obtain your consent prior to sharing personal information that they collect about you with nonaffiliated third parties, or eligibility information with affiliated companies, other than in certain limited circumstances. Except as permitted by law, we will not share personal information we collect about you with nonaffiliated third parties, or eligibility information with affiliated companies, unless you provide us with your written consent to share such information.
Special Notice To Residents Of Vermont
The following section supplements our Policy with respect to our individual clients who have a Vermont address and supersedes anything to the contrary in the above Policy with respect to those clients only.
The state of Vermont requires financial institutions to obtain your consent prior to sharing personal information that they collect about you with nonaffiliated third parties, or eligibility information with affiliated companies, other than in certain limited circumstances. Except as permitted by law, we will not share personal information we collect about you with nonaffiliated third parties, or eligibility information with affiliated companies, unless you provide us with your written consent to share such information.
Special Notice To Residents Of California
The following section supplements our Policy with respect to our individual clients who have a California address and supersedes anything to the contrary in the above Policy with respect to those clients only.
In response to a California law, if your account has a California home address, your personal information will not be disclosed to nonaffiliated third parties except as permitted by applicable California law, and we will limit sharing such personal information with our affiliates to comply with California privacy laws that apply to us.
We reserve the right to modify or supplement this Privacy Policy at any time. Therefore, we recommend that you review this Privacy Policy, updated and posted on our website, www.americanisg.com, regularly for changes. The Revised Date of this Privacy Policy, as stated above, indicates the last time this Privacy Policy was revised.
Questions: If you have questions about our privacy policy, you may contact your AISG financial professional, or you may contact Compliance at: AISG, LLC, Attn: Compliance Department, PO Box 579, Eagle, ID 83616.