- Name, address, social security number, account numbers and date of birth;
- Asset, liability, income, business account and tax information;
- Investment history, including your transactions with us and our affiliated companies; and
- Other Information you have authorized us to obtain, including but not limited to, brokerage, insurance or other financial
We will collect such information either directly from you, or from third parties with your authorization, through interviews, phone calls, letters, and e-mails. We will also review documents such as tax returns, financial statements, legal documents, and account statements. Our policy is to restrict access to your personal and confidential information to employees of our firm and, in limited situations, to third party service providers such as those who hold custody of your assets, service your accounts, and process your transactions. We may share personal information about you with third party individuals or entities such as other advisors, attorneys, accountants, and insurance agents when you authorize us to do so.
You can be assured that HBKS is committed to maintaining the confidentiality, integrity, and security of personal and confidential information you entrust to us. We maintain physical, technological, and procedural safeguards in compliance with applicable law and regulations to guard your nonpublic personal information against unauthorized access. In some cases, HBKS shares office space with one or more of the affiliated entities listed below. In such cases, HBKS maintains security procedures and practices designed to protect your information from unauthorized disclosure and use.
We do not disclose your personal information to non-affiliated third parties except as permitted by our agreement with you, or as required by law (e.g., to respond to subpoenas or government inquiries). The ability of third parties to further disclose and use the information is limited by the policies of our firm, applicable law, our Code of Ethics, and nondisclosure agreements where appropriate. We may also share your personal information with HBKS affiliates to offer you or provide you with further products and services. Our affiliates include the following:
HBK Professional LLC
Hill, Barth & King Financial Holdings LLC
HBK Healthcare Solutions LLC
HBK Sorce Financial LLC
HBK CPAs and Consultants
HBK Sorce Holdings LLC
HBKS Investments LLC
Reflection Financial LLC
HBK Retirement LLC
HBK Sorce Brokerage LLC
Park Shore Partners LLC
HBK Sorce Insurance LLC
HBK Valuation Group LLC
HBK Energy LLC
Steel Tower Investments
We reserve the right to amend our policies at any time and will notify you should any material changes occur.
Thank you for allowing us to serve you. We value your business and are committed to protecting your privacy. We hope you view our firm as your most trusted adviser and we will work to maintain your trust and respect. Please call us if you have any question or if we can be of further service.
HBK Sorce Advisory LLC is a SEC Registered Investment Advisor Version 08/01/2019