Wakker’s Financial Advisory Service, Inc’s
PRIVACY NOTICE
(Regulation S-P)
Pursuant to Regulation S-P adopted by the Securities and Exchange Commission, it is the policy of Wakker’s Financial Advisory Service, Inc. to keep confidential nonpublic personal information (“information”) pertaining to each current and former client (i.e., information and records pertaining to personal background, investment objectives, financial situation, investment holdings, account numbers, account balances, etc.) unless Wakker’s Financial Advisory Service, Inc. is (1) previously authorized by the client to disclose information to individuals and/or entities not affiliated with Wakker’s Financial Advisory Service, Inc., including, but not limited to the client’s other professional advisors and/or service providers (i.e., attorney, accountant, insurance agent, broker-dealer, investment advisor account custodian, etc.); (2) required to do so by judicial or regulatory process; or (3) permitted to do so in accordance with the parameters of regulation S-P. The disclosure of information contained in any document completed by the client for processing and/or transmittal by Wakker’s Financial Advisory Service, Inc. in order to facilitate the commencement/ continuation/ termination of a business relationship between the client and nonaffiliated third party service provider (i.e. broker-dealer, investment adviser, account custodian, insurance company, etc.), including information contained in any document completed and/or executed by the client for Wakker’s Financial Advisory Service, Inc. (i.e., advisory agreement, client information form, etc.), shall be deemed as having been automatically authorized by the client with respect to the corresponding nonaffiliated third party service provider. Each individual and/or entity affiliated with Wakker’s Financial Advisory Service is aware of Wakker Financial Advisory Service, Inc’s. privacy policy, and has acknowledged his/her/its requirement to comply with same. In accordance with Wakker’s Financial Advisory Service, Inc’s.. privacy policy, each such affiliated individual and/or entity shall have access to information to the extent reasonably necessary for Wakker’s Financial Advisory Service, Inc. to perform its services for the client, and to comply with applicable regulatory procedures and requirements.