PRIVACY POLICY FOR HAWTHORNE WELLMAN FINANCIAL PLANNING, LLC

Hawthorne Wellman Financial Planning LLC recognizes that our relationship with current and prospective clients is based on integrity and trust. We work hard to maintain your privacy and to preserve the private nature of our relationship with you. We place the highest value on the information you share with us. Hawthorne Wellman Financial Planning will not disclose your personal information to anyone unless it is legally required or at your discretion. We will not sell your personal information. Hawthorne Wellman Financial Planning will provide the privacy statement to all clients annually.

We want our clients to understand what information we collect, how we use it, and how we protect it responsibly.

WHY WE COLLECT YOUR INFORMATION

We gather information about you so that we can:

  • Help design and implement the investment and planning-related services we provide you and

  • Comply with the Federal and State laws and regulations that govern us.

WHAT INFORMATION WE COLLECT AND MAINTAIN

We may collect the following types of “nonpublic personal information” about you:

  • Information from our initial meeting or subsequent consultations about your identity, such as your name, address, social security number, date of birth, and financial information.

  • Information that we generate to service your financial needs.

  • Information that we may receive from third parties with respect to your financial profile.

WHAT INFORMATION WE DISCLOSE

We are permitted by law to disclose nonpublic information about you to unaffiliated third parties in certain circumstances. HWFP may disclose client’s Non Public Information:

  1. to individuals and/or entities not affiliated with HWFP, including, but not limited to third-parties that assist in the supervision or management of your account(s) (i.e., broker-dealer, sub-advisers, account custodian, record keeper, etc.);

  2. to service providers contracted by us in order for us to perform the duties in furtherance of the client’s engagement with HWFP (i.e. client management systems, archiving technology vendors, cloud service providers,etc.);

  3. to your authorized representative or power of attorney;

  4. when we receive your prior consent; and

  5. as otherwise permitted to do so in accordance with the parameters of applicable federal and/or state privacy regulations.

In the event that HWFP has a change to its client privacy policy that would allow it to disclose non-public information not covered under applicable law, HWFP will allow its clients the opportunity to opt-out of such disclosure.

HOW WE PROTECT YOUR PERSONAL INFORMATION

Privacy has always been important to HWFP. We restrict and limit access to client information only to those who need to carry out their business functions. We safeguard client information by preventing its unauthorized access, disclosure, or use. We maintain physical, electronic, and procedural safeguards to protect your confidential personal information. Arrangements with companies or independent contractors not affiliated with HWFP will be subject to confidentiality agreements.

PROSPECTIVE AND FORMER CLIENTS

Even if we never provide you with financial services or cease to do so, our Privacy Policy applies to you. We will continue to treat your nonpublic information with strict confidentiality. We maintain all records of former clients for the retention period required by law.

CONTACT US

Clients are encouraged to discuss any questions regarding privacy policies and procedures directly with Beth Lundberg, Chief Compliance Officer of Hawthorne Wellman Financial Planning. A copy of Hawthorne Wellman Financial Planning’s full Privacy Policy is available upon request. Please contact Beth Lundberg at blundberg@hawthornewellman.com.