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Wang Investment Associates Inc. - Privacy Policy

Privacy Statement
As a regulated financial institution and member of the FINRA, PCX and SIPC, we must obtain your personal and financial information. To demonstrate our commitment to privacy we have prepared this Privacy Statement.

Information Privacy
We do not sell or disclose any personal information of our customers to anyone, unless otherwise specified by law. Otherwise, your personal information is protected with a strict agreement of confidentiality.

Employee Access
It is a policy at Wang that our employees with access to customer information are prohibited from disclosing customer information outside of business use and are required to safeguard that information.

Our touch-tone phone trading system, phone lines and Internet trading system are all secure and encrypted to ensure best security.

"Cookies" are a number given to a computer's browser that some Web sites use to market products. At Wang, we also do not use cookies because the business you conduct with us is our main concern.

If you suspect that your personal information has been disclosed or otherwise tampered with or just have a question regarding security, do not hesitate to call us at (212) 668-4180 or e-mail us at [email protected]

Notice of Privacy Policy

This notice is being provided by Wang Investment Associates, Inc., because you are a customer.
We are committed to keeping the personal information collected from our potential, current and former customers confidential and secure. The proper handling of personal information is one of our highest priorities. We want to be sure that you know why we need to collect personal information from you. We also want to explain to you our commitment to protect the information you provide to us. We will not sell your information to any outside parties.

Customer Information
We collect and keep only information that is necessary for us to provide services requested by you and to administer your business with us. We may collect nonpublic personal information:

  • From you when you complete an application or other form. This includes information such as name, address, social security number, assets, income, net worth and other information deemed necessary to evaluate your financial needs.
  • Credit card information.
  • As a result of transactions with us, our affiliates if any or others. This could include transactions completed with us, information received from outside vendors to complete transactions or to effect financial goals.

Sharing Information
We only share your nonpublic personal information with non-affiliated companies or individuals as permitted by law, such as your representative within our firm, other broker/dealers, mutual funds and other product vendors, or to comply with legal or regulatory requirements. In the normal course of our business, we may disclose information we collect about you to companies or individuals that contract with us to perform servicing functions such as:

  • - Record keeping
  • - Computer related services
  • - Good faith disclosure to regulators who have regulatory authority over the company.
  • - Companies we hire to provide support services are not allowed to use your personal information for their own purposes and are contractually obligated to maintain strict confidentiality. We limit their use of your personal information to the performance of the specific service we have requested. Companies we hire to provide support services are not allowed to use your personal information for their own purposes and are contractually obligated to maintain strict confidentiality. We limit their use of your personal information to the performance of the specific service we have requested.
We do not provide your personally identifiable information to mailing list vendors or solicitors for any purpose.

When we provide personal information to a service provider, we require these providers to agree to safeguard your information, to use the information only for the intended purpose, and to abide by applicable law.

Internet Access
We provide a website on the Internet for our company, which is informational only. Accessing this website in no way compromises your privacy since we gather no personal information from you. We do not utilize Cookies, Graphics Interchange Format (GIF's), or any other web tools. You should check the privacy policy for any links provided upon leaving our web site.

We provide access to your securities accounts via the Internet. Your password is your private entry key into your account. You should never share it with anyone and you should change it periodically.

After you've finished accessing your securities account, don't forget to log off. This prevents someone else from accessing your account if you leave your computer and your session hasn't "timed out," or automatically shut down.

Employee Access to Information
Only employees with a valid business reason have access to your personal information. These employees are educated on the importance of maintaining the confidentiality and security of this information. They are required to abide by our information handling practices.

Protection of Information
We maintain security standards to protect your information, whether written, spoken, or electronic. We update and check our systems to ensure the protection and integrity of information.

Maintaining Accurate Information
Our goal is to maintain accurate, up-to-date customer records in accordance with industry standards. We have procedures in place to keep information current and complete, including timely correction of inaccurate information.

Opt Out Provisions
Based on the information the Firm has supplied, the Firm supplies information to third parties that are allowed under the exceptions to the rule. The Firm does not appear to disclose information to non-affiliated third parties. Therefore, no opt out provisions have been provided since none are needed.

If you prefer that we not disclose nonpublic personal information about you to nonaffiliated third parties, you may opt out of those disclosures, that is, you may direct us not to make those disclosures (other than disclosures permitted by law). If you wish to opt out of disclosures to nonaffiliated third parties, you may call the Firm at the toll free number 800-353-9264 and request to opt out. The Firm will ask you questions and process your request as required by the law.

Should you send us your questions and comments via e-mail to any mail box provided by Wang Investment Associates, Inc., we will share your correspondence with our Registered Representatives and those employees or agents most capable of addressing your questions and concerns. We will retain your communication until we have done our very best to provide you with a complete and satisfactory response. Ultimately, we will either discard your communication or archive it according to Wang Investment Associates, Inc. requirement under applicable securities laws.

Please note that, unless we expressly advise you otherwise, Wang Investment Associates, Inc. e-mail facilities do not provide a means for completely secure and private communications between Wang Investment Associates, Inc. and you, the User. Although every attempt will be made to keep your information confidential, from a technical standpoint, there is still a risk. For that reason, please do not use e-mail to communicate information to us that you consider to be confidential. If you wish, you may contact us instead via telephone or by facsimile. Additional security is available to you if you equip your Internet browser with 128-bit "secure socket layer" encryption, which provides more secure transmissions.

Disclosure of our Privacy Policy
We recognize and respect the privacy concerns of our potential, current and former customers. We are committed to safeguarding this information. As a member of the financial services industry, we are sending you this Notice of Privacy Policy for informational purposes and will update and distribute it as required by law. It is also available upon request.