Select Portfolio Management, Inc. - Select Money Management,
Inc. - Securities Equity Group - SPM Insurance Services,
Inc.Privacy Policy - Notice
Regarding Privacy of Customer Information
This notice is provided to you on behalf of
Select Portfolio Management, Inc., Select Money Management,
Inc., Securities Equity Group, and SPM Insurance Services,
Inc. (collectively referred to in this notice as “we,” “us,”
“our,” or “Affiliated Companies”). Protecting our customers’
privacy is of paramount importance. We recognize that an
individual’s financial matters are private and sensitive in
nature, and we have adopted policies that assist us in
protecting your privacy and, at the same time, help us to
provide you with a broad range of high-quality financial
products and services.
This Privacy Policy will explain the types of information we
collect about you, how we use and share that information,
and how you can instruct us to limit certain types of
information sharing. Information we obtain from all
customers and former customers is treated in the same
manner.
How We Protect Your
InformationWe protect your data and safeguard it from those not
authorized to see it by adopting internal policies and
procedures. Under no circumstances will we sell confidential
customer information to anyone.
What Information We
Collect About You: We collect confidential customer information from you in a
number of ways for the following purposes:
- We collect information from you when you open an account
or enroll in one of our services. The information we collect
may include, but is not limited to: your name, address,
phone number, email address, social security number and date
of birth, as well as details about your investments and
investment experience.
- Once you have opened an account with us, we collect and
maintain confidential customer information about your
account activity, including your transactions, balances,
positions, and history. This information allows us to
provide the services you have requested.
- We may collect information about you from information
services and consumer reporting agencies to verify your
identity, employment, or creditworthiness, or to better
understand your financial needs.
- The law permits us to share information about our current
and former customers with government agencies or authorized
third parties under certain circumstances. For example, we
may be required to share such information in response to
subpoenas or to comply with certain laws.
How We Share Information
About You With Affiliated Companies:
Founded in 1993, Select Portfolio Management, Inc. (“SPM”)
is a federally regulated registered investment advisor
affiliated via common ownership with Securities Equity Group
(“SEG”), an independent broker-dealer, member of FINRA and
SIPC, Select Money Management, Inc. (“SMM”), a federally
regulated registered investment advisor, and with SPM
Insurance Services, Inc., an independent wholesale insurance
agency. We share information we collect about you among our
Affiliated Companies to:
- help provide you with better service or perform services
on your behalf;
- respond to communications from you or as you authorize or
request;
- make it more convenient for you to open a new account; and
- allow an Affiliated Company to provide you with
information about their products and services that we
believe may benefit or interest you.
You may instruct us not to share information about you with
our Affiliated Companies for certain purposes, as explained
under "How to Limit the Sharing of Information about You."
How We Share Information
About You With Non-Affiliated Companies:
We provide access to information about you to outside
companies and other third parties in certain limited
circumstances, including:
- to help us process transactions for your account;
- when we use another company to provide services for us,
such as printing and mailing your account statements;
- when we believe that disclosure is required or permitted
under law. For example, we may be required to disclose
personal information to cooperate with regulatory or law
enforcement authorities, to report your tax-related
information to federal and state governments, to resolve
consumer disputes, to perform credit/authentication checks,
or for risk control.
If your SPM/SMM Wealth Manager or SEG Registered
Representative leaves us to join another firm, they are
permitted to retain copies of your information to facilitate
the transfer of your account to a new broker-dealer or
investment advisor in order to serve you at their new firm.
Their continuing use of your information will be subject to
the new firm’s privacy policy. You are not obligated to
transfer your account if your Wealth Manager/Registered
Representative leaves us, and you may instruct us not to
allow the sharing of information as explained below under
"How to Limit the Sharing of Information about You."
How To Limit The Sharing
Of Information About You: If you prefer, you may choose to limit the information we
share about you with our Affiliated and Non-Affiliated
Companies. Specifically, you may instruct us:
- not to allow our Affiliated Companies to market their
financial products or services to you;
- not to share confidential customer information about you
with a Non-Affiliated company for joint marketing purposes;
and/or
- not to allow your Representative to take your information
to facilitate the transfer of your account(s) should they
leave any of our Affiliated Companies.
You may exercise your choice by writing us at Select
Portfolio Management, Inc., Attn: Compliance Department,
26800 Aliso Viejo Parkway – Suite 150, Aliso Viejo, CA
92656. Your choice will be applied to you as an individual
and will automatically be extended to all of your accounts
with any of our Affiliated Companies. You may make your
privacy choice at any time and it will remain in effect
until you change it in writing.
Safeguarding Your
Information, Maintaining Your Trust:
We take precautions to ensure the information we collect
about you is protected and is accessed only by authorized
individuals or organizations. Our employees are trained
about privacy and are required to safeguard confidential
customer information. We maintain physical, electronic, and
procedural safeguards to protect confidential customer
information.
Contact Us With Any
Questions: If you have any questions or concerns, or if you identify
any information that you believe is no longer accurate, you
may contact your Wealth Manager or Registered Representative
or write
Select Portfolio
Management, Inc.,
Attn: Compliance Department,
26800 Aliso Viejo Pkwy. – Suite 150
Aliso Viejo, CA 92656.
Thank you for your business and allowing us to service your
needs.
Our Business Continuity
Plan Select Portfolio Management has developed a Business
Continuity Plan regarding how we will respond to events that
significantly disrupt our business. Since the timing and
impact of disasters and disruptions is unpredictable, we
will have to be flexible in responding to actual events as
they occur. With that in mind,
We plan to quickly recover and resume business operations
after a significant business disruption and respond by
safeguarding our employees and property, making a financial
and operational assessment, protecting the firm's books
and records, and allowing our customers to transact
business. In short, our business continuity plan is designed
to permit our firm to resume operations as quickly as
possible, given the scope and severity of the significant
business disruption.
Our business continuity plan addresses: data back up and
recovery; all mission critical systems; financial and
operational assessments; alternative communications with
customers, employees, and regulators; alternate physical
location of employees; critical supplier, contractor, bank
and counter-party impact; regulatory reporting; and assuring
our customers prompt access to their funds and securities if
we are unable to continue our business.
Our clearing firm, National Financial Services, LLC, backs
up our important records in a geographically separate area.
While every emergency situation poses unique problems based
on external factors, such as time of day and the severity of
the disruption, our clearing firm has advised us that its
objective is to restore its own operations and be able to
complete existing transactions and accept new transactions
and payments within the same day of the occurrence. Your
orders and requests for funds and securities could be
delayed during this period.
CLICK HERE for a PDF version of the NSF Business Continuity Plan.
Varying disruptions
Significant business disruptions can vary in their scope,
such as only our firm, a single building housing our firm,
the business district where our firm is located, the city
where we are located, or the whole region. Within each of
these areas, the severity of the disruption can also vary
from minimal to severe.
In a disruption to only our firm or a building housing our
firm, we will transfer our operations to a local site when
needed and expect to recover and resume business within the
same business day of the occurrence. In a disruption
affecting our business district, city, or region, we will
transfer our operations to a site outside of the affected
area, and recover and resume business within the same
business day of the occurrence. In either situation, we plan
to continue in business, transfer operations to our clearing
firm if necessary, and notify you through the web site of
our affiliate Select Portfolio Management, Inc.
(www.selectportfolio.com) as to how to contact us or obtain
information regarding your investments. If the significant
business disruption is so severe that it prevents us from
remaining in business, we assure our customers prompt access
to their funds and securities.
General Website Disclosures
The information presented on the SELECTPORTFOLIO.COM website
is intended for informational use only and is not a
substitute for investment, legal, tax, or insurance advice.
State, national and international laws vary, as do
individual circumstances; so always consult a qualified
investment advisor, attorney, CPA, or insurance agent on all
investment, legal, tax, or insurance matters. The
effectiveness of any of the strategies described will depend
on your individual situation and on a number of other
factors (e.g. time horizon, risk tolerance, etc.)
There is no guarantee that any forecasts or opinions in any
materials presented on theis website will be realized.
Information should not be construed as investment advice.
Any materials on this SELECTPORTFOLIO.COM website do not
constitute the rendering of investment, legal, tax or
insurance advice or services. They are intended for
informational use only and is not a substitute for
investment, legal, tax, and insurance advice.
State, national and international laws vary, as do
individual circumstances; so always consult a qualified
investment advisor, attorney, CPA, or insurance agent on all
investment, legal, tax, or insurance matters. The
effectiveness of any of the strategies described will depend
on your individual situation and on a number of other
factors. After reviewing your personal situation, we may
recommend that you not use any strategy in this document but
instead consider other strategies available through our
practice. As with any investment strategy, there is
potential for profit as well as the possibility of loss.
Asset allocation does not ensure a profit or guarantee
against a loss. Select Portfolio Management, Inc., Select
Money Management, Inc., and all affiliated companies do not
guarantee any minimum level of investment performance or the
success of any portfolio or investment strategy.
All investments involve risk and investment recommendations
will not always be profitable. Past performance is no
guarantee of future results and current performance may be
higher or lower than the performance shown. The investment
return and principal value of an investment will fluctuate
so that an investor's shares, when redeemed, may be worth
more or less than their original cost. Please contact your
advisor for additional information. Further information is
available in the SPM - Firm Brochure, the SMM - Firm
Brochure, and the SMM – Wrap Fee Program Brochure available
on the footer of this website.
Website Cookies
Cookies are small bits of data that are deposited on a
user's hard drive. The SELECTPORTFOLIO.COM website can
utilize cookies and IP addresses for certain form and
administration functions. Cookies simply permit the
SELECTPORTFOLIO.COM website to be tailored to your needs and
permit users to store their password and other user
information without having to constantly re-enter this data.
Most browsers permit users to decline to accept cookies,
although the default setting is typically to accept them.
You may choose to decline the cookies, but certain functions
of the website may not be accessible to you.
Website Use of Information
SELECTPORTFOLIO.COM does not sell personally identifiable
information, such as your name or e-mail address to
advertisers. However, non-personal "aggregated data" can be
used to enhance the operation of our website.
SELECTPORTFOLIO.COM may also disclose personally
identifiable information in order to respond to a subpoena,
court order or other such requestor in response to a law
enforcement agency's request.
Children are not encouraged or permitted to use the
SELECTPORTFOLIO.COM website and as such, SELECTPORTFOLIO.COM does
not knowingly collect personal information from children
under the age of 13 from this website.
3rd Party Websites
SELECTPORTFOLIO.COM is not responsible for the privacy
policies of websites to which it links. If you provide any
information to such third parties, different rules regarding
the collection and use of your personal information may
apply. We strongly suggest you review such third party's
privacy policies before providing any data to them. We do
outsource some functions of the website for collection of
payments, forms maintenance and content management,
different rules regarding the collection and use of your
personal information may apply with these service providers.
SEG 606 Reports
Sule 606 of Regulation NMS requires broker-dealers to
disclose information regarding the handling of their
customers’ orders in NMS stocks and listed options. These
disclosures are designed to help customers: better
understand how their firm routes and handles their orders;
assess the quality of order handling services provided by
their firm; and ascertain whether the firm is effectively
managing potential conflicts of interest that may impact
their firm’s routing decisions.
Disclaimer:
The attached reports were provided by NFS for you without
any express or implied legal warranties or acceptance of
legal liability by NFS relative to your use of the
materials.
Our
606 Reports for our
affiliated company SEG (Securities Equity Group) are
available below in multiple formats.
( 3 formats below: PDF format for easy reading -
zoom in as needed | XLSX
format - for Excel Spreadsheets | XML format )
1st Quarter 2024 606 Report
PDF
format |
XLSX format |
XML format
4th Quarter 2023 606 Report
PDF
format |
XLSX format |
XML format
3rd Quarter 2023 606 Report
PDF
format |
XLSX format |
XML format
2nd Quarter 2023 606 Report
PDF
format |
XLSX format |
XML format
1st Quarter 2023 606 Report
PDF
format |
XLSX format |
XML format
4th Quarter 2022 606 Report
PDF
format |
XLSX format |
XML format
3rd Quarter 2022 606 Report
PDF
format |
XLSX format |
XML format
2nd Quarter 2022 606 Report
PDF
format |
XLSX format |
XML format
1st Quarter 2022 606 Report
PDF
format |
XLSX format |
XML format
4th Quarter 2021 606 Report
PDF
format |
XLSX
format |
XML format
3rd Quarter 2021 606 Report
PDF
format |
XLSX format |
XML format
2nd Quarter 2021 606 Report
PDF
format |
XLSX format |
XML format
1st Quarter 2021 606 Report
PDF
format |
XLSX format |
XML format
4th Quarter 2020 606 Report
PDF
format |
XLSX format |
XML format
3rd Quarter 2020 606 Report
PDF
format |
XLSX format |
XML format
2nd Quarter 2020 606 Report
PDF
format |
XLSX format |
XML format
2nd Quarter 2020 606 Report
PDF
format |
XLSX format |
XML format
Website Security
SELECTPORTFOLIO.COM takes appropriate steps to ensure data
privacy and security in regard to the SELECTPORTFOLIO.COM
website. SELECTPORTFOLIO.COM cannot guarantee the security
of any information that is disclosed online.
Updates to Privacy Policy
& DisclaimersSELECTPORTFOLIO.COM reserves the rights to modify this
privacy policy at any time. Modifications become effective
on the day they are posted. Frequently review the privacy
policy for any modifications if this is important to you.
For More Information
If you have any questions or concerns, or if you identify
any information that you believe is no longer accurate,
please contact your, SPM/SMM Investment Advisor Representative,
SEG Registered Representative, SPM Financial Planner, or
SPMI Insurance agent.