NobleBridge Wealth Management, LLC
d/b/a: NobleBridge WealthTM
Information We Collect: We collect certain nonpublic information about you ("Customer Information"). The essential purpose for collecting Customer Information is to allow us to provide advisory services to you. Customer Information we collect may include:
- Information that you provide on applications or other forms. This Customer Information may include personal and household information such as income, spending habits, investment objectives, financial goals, statements of account, and other records concerning your financial condition and assets, together with information concerning employee benefits and retirement plan interests, social security statements, wills, trusts, mortgages and tax returns.
- Identifying information such as your name, age, address, social security number, etc.
- Information about your transactions with us, or others (e.g., broker-dealers, clearing firms, or other chosen investment sponsors).
- Information we receive from consumer reporting agencies (e.g., credit bureaus), as well as other various materials we may use to provide an appropriate recommendation or to fill a service request.
Security of Your Information: We restrict access to your nonpublic personal information to those employees who need to know that information to service your account. We maintain physical, electronic and procedural safeguards that comply with applicable federal or state standards to protect your nonpublic personal information.
Ongoing Safeguards: We have implemented controls reasonably designed to mitigate, prevent and detect potential red-flags to safeguard our clients and firm data and identity.
Information We Disclose: As required or permitted by law, we disclose the nonpublic personal information we collect about our customers: (i) to persons necessary to effect the transactions and provide the services that our customers authorize, such as broker-dealers, custodians, independent third-party managers etc.; (ii) to persons assessing our compliance with industry standards (e.g., professional licensing authorities, etc.); (iii) our attorneys, accountants, and auditors; or (iv) as otherwise provided by law. We are permitted by law to disclose the nonpublic personal information about you to governmental agencies and other third parties in certain circumstances (such as third parties that perform administrative or marketing services on our behalf or for joint marketing programs). These third parties are prohibited to use or share the information for any other purpose.
How We Use Information: Information may be used among companies that perform operational support, technology and data processing/storage, or marketing companies helping us market products and services to you for several purposes, for example:
- To protect your accounts from unauthorized access or identity theft;
- To process your requests for advisory services, securities purchases and sales;
- To establish or maintain an account with an affiliate or related companies by common ownership or control;
- To establish or maintain an account with an unaffiliated third-party, such as clearing broker- dealer, insurance company, independent marketing organization, or a financial institution providing custody services to you and/or NobleBridge Wealth Management, LLC;
- To service your accounts, such as by supporting your banking, insurance and consultative account reporting aggregation and advisory services;
- To comply with Federal, State, and Self-Regulatory Organization requirements;
- To keep you informed about your investment results or services of interest to you.
Information We Do Not Disclose: We do not disclose your nonpublic information for joint marketing with other financial companies and do not sell customer lists or provide your name to telemarketers or marketing providers.
Prohibited Affiliate Marketing Use: As a registered investment adviser we are prohibited from using eligibility information that is received from an affiliate to make marketing solicitation unless:
- The potential marketing use of that information has been clearly conspicuously and concisely disclosed to you the customer;
- We provide you a reasonable opportunity and simple method to opt out of receiving the marketing solicitations; and
- You the customer has not opted out.
Information We Disclose to Affiliated Third Parties: We disclose the following information to affiliated third parties: Client private information. The affiliated third parties to whom we disclose this information include: NobleBridge Wealth Insurance Advisors, LLC.
Former Clients: If you decide to close your account(s) or become an inactive customer, we will adhere to our privacy policies, which may be amended from time to time.
Questions: If you have questions about this privacy notice or about the privacy of your customer information call our main number 866-798-0354 and ask to speak to the Chief Compliance Officer.
Effective December 22, 2021