Lefavi Wealth Management
Lefavi Wealth Management, Inc.
2323 Foothill Drive, Suite 100
Salt Lake City, Utah 8419
Ph (800) 486-9000
Fax (801) 486-9058
|FACTS||WHAT DOES LEFAVI WEALTH MANAGEMENT AND BRUCE A LEFAVI SECURITIES, INC. DO WITH YOUR PERSONAL INFORMATION?|
Financial companies choose how they share your personal information. Federal law gives consumers
the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.
All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers’ personal information; the reasons Lefavi Wealth Management and Bruce A Lefavi Securities, Inc. choose to share; and whether you can limit this sharing.
|REASONS WE CAN SHARE YOUR PERSONAL INFORMATION||DOES LEFAVI WEALTH MANAGEMENT|
AND BRUCE A LEFAVI SECURITIES SHARE?
|CAN YOU LIMIT THIS SHARING?|
For our everyday business purposes — such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus.
Yes, we will share account numbers, transaction data, investment history, and other details as required by court orders and legal investigations.
|No Limiting this information may limit our eﬀectiveness as your adviser. Legal investigations and court orders cannot be limited.|
|For our marketing purposes —|
To oﬀer our products and services to you
|Yes, we may share contact information with third- party vendors whom we have contracted for the pur- pose of marketing our products to our clients.||YES|
|For joint marketing with other financial companies||No, our joint marketing eﬀorts with other financial companies do not require the sharing of customer information.||YES|
|For our aﬃliates’ everyday business purposes —|
Information about your transactions and experiences
|Yes, information on transactions and experiences are shared with our aﬃliated broker-dealer and clearing firm.|| |
No Limiting this information may limit our eﬀectiveness as your adviser.
|For our aﬃliates’ to market to you||Yes, we may share contact information with aﬃliated companies for the purpose of marketing their products to you.||YES|
|For nonaﬃliates to market to you||Yes, we may share contact information with nonaﬃli- ated companies for the purpose of marketing.||YES|
To limit our sharing
|· Call 801‐478‐8558 or toll free (800) 422‐9997|
· Send an email to Compliance@lefavi.com
PLEASE NOTE: If you are a new customer, we can begin sharing your information 30 days from the date we sent this notice. When you are no longer a customer, we no longer share your information.
|Questions?||· Call 801‐478‐8558 or toll-free (800) 422‐9997|
|Who we are:|
Who is providing this notice?
This notice is provided on behalf of Lefavi Wealth Management and Bruce A Lefavi Securities, Inc.
|What we do:|
|How does Lefavi Wealth Management and Bruce A Lefavi Securities, Inc. protect my personal information?||To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and se- cured files and buildings.|
How does Lefavi Wealth Management and Bruce A Lefavi SecuriTIes, Inc. collect my personal information?
|We collect your personal information, for example, when you|
· Open an account or deposit money
· When you attend one of our events
· When our aﬃliated clearing firm receives information regarding your accounts
· Medical information submitted as part of an insurance application for a traditional life or variable life policy
· Information received from service bureaus or other third parties
Why can’t I limit all sharing?
Federal law gives you the right to limit only
· Sharing for aﬃliates’ everyday business purposes — information about your creditworthiness
· Aﬃliates from using your information to market to you
· Sharing for nonaﬃliates to market to you
State laws and individual companies may give you additional rights to limit sharing.
|What happens when I limit sharing for an account I hold jointly with someone else?||Limits placed on the sharing of information apply to the entire household — unless you tell us otherwise.|
|Companies related by common ownership or control. They can be financial and nonfinancial companies.|
Our aﬃliates include Lefavi Wealth Management and Bruce A Lefavi Securities.
Companies not related by common ownership or control. They can be financial and nonfinancial companies.
Lefavi Wealth Management has several relationships with other companies including CPAs, Estate planners, Insurance companies, and other investment advisers and broker-dealers. We also maintain a relationship with our clearing firm, which requires us to share information.
A formal agreement between nonaﬃliated financial companies that together market financial products or services to you.
Many of Lefavi Wealth Management’s events are co-sponsored by other financial companies.