Broker Check

Privacy Policy

BORRIS/NII/VALDEZ & COMPANY, INC.
PRIVACY POLICY

In accordance with the Gramm-Leach-Bliley Act of 1999, legislation designed to protect the rights of consumers from the disclosure of nonpublic information maintained by providers of financial services, the following represents our firm`s privacy policies as they relate to the information we gather about our clients on their behalf.

The servicing of clients` business and financial matters is conducted under the aegis of Borris/Nii/Valdez and Company, Inc. (BNVCO) and there are affiliated concerns to that entity. They are Greenbrier Diversified, Inc., (GDI) an FINRA Registered Broker-Dealer and Borris/Nii/Valdez & Company, C. P. A`s (CPA`s). This statement is intended to be a blanket notice to acquaint the public with the privacy policies of all of those affiliates.

BNVCO, an independent financial planning and business management firm is committed to safeguarding the confidential information of its clients. We hold all personal information provided to our firm in the strictest confidence. These records include all personal information that we collect from clients or on their behalf in connection with any of the services provided by us.

We have never, nor will we, disclose information to nonaffiliated third parties, except as permitted by law, and do not anticipate doing so in the future. If we were to anticipate such a change in firm policy, we would be prohibited under the law from doing so without advising our clients beforehand.

We use health and financial information provided to us to help our clients meet their personal financial goals while guarding against any real or perceived infringements of their rights of privacy. Our policy with respect to personal information about them is listed below.

  • We limit 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 permits us to share a limited amount of information about clients with a brokerage firm in order to execute securities transactions on their behalf, or so that our firm may discuss clients` financial situations with their attorney.)
  • We maintain a secure office and computer environment to ensure that client information is not placed at unreasonable risk.
  • The categories of nonpublic personal information that we collect from a client depend upon the scope of the client engagement. It will include information about personal finances, information about health, to the extent that it is needed for the planning process, information about transactions between clients and third parties, and information from consumer reporting agencies.
  • For unaffiliated third parties that require access to clients` personal information, including financial service companies, consultants, and auditors, we 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.
  • We do not provide personally identifiable information to mailing list vendors or solicitors for any purpose.
  • Personally identifiable information about our clients will be maintained during the time we represent our clients, and for the time thereafter that such records are required to be maintained by federal and state securities laws, and consistent with the code of Ethics and Professional Responsibilities promulgated by the organizations governing the practices of BNVCO, GDI, and CPA`s. After this required period of record retention, all such information will be destroyed.
State law prohibits us from sharing any of our clients` personal health information with a third party without their permission. Clients have a right not to permit us to share this information with anyone else. As a financial planning-business management firm, in order for us to discuss life insurance needs with an insurance company or other insurance professionals, clients must check off the box below if they consent to our sharing such information. Please return the consent form to our office or e-mail your consent to [email protected]

Consent Granted Yes   No

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