Privacy Policy

Waterford Capital Investment Advisory Services, LLC (WCIAS) is committed to maintaining the privacy and security of your personal and financial information. We adhere to confidentiality standards designed to protect your privacy. WCIAS’s Privacy Policy applies to both past and current customers of WCIAS.

WCIAS does not sell your personal information to anyone:

  • Federal Law has established guidelines, requiring advanced notice to customers. The advance notice allows the customer to “opt out” of disclosing certain information to third parties.
  • WCIAS does not disclose nonpublic personal information to third parties which would trigger this right to “opt out”, so in effect our customers are automatically opted out.

How we obtain information about you:

  • In the normal course of business, we collect, retain and use information about you to serve your financial needs and administer your account(s). This data, known as non-public personal information, may be collected from several sources, including: new account applications and other forms you file with us (e.g., name, address, telephone #, assets, incomeā€¦), records of transactions with us, our affiliates, non-affiliated third parties and others(e.g., credit report). Because we strive to provide you with the best possible service, the accuracy and completeness of your personal information is important to us.

WCIAS only shares nonpublic personal information, in accordance with federal law, under the following circumstances:

  • We may disclose information to companies that help us process transactions for your account, such as the execution of trades.
  • We may share information with companies that help us service your account, such as companies that print and mail your account statements, trade confirmations and notices. We have entered into contracts with these companies which prohibit them from using the information provided for their own purposes and are required to keep the information confidential.
  • We may disclose or share nonpublic personal information where we believe in good faith the disclosure is required or permitted by law; such as pursuant to a request for information from the Federal Bureau of Investigation (FBI), the Internal Revenue Service (IRS), and the Securities and Exchange Commission(SEC) and to other parties under Court Order or Subpoena.

Our dedication to maintaining your privacy translates to all your transactions with us, and to all WCIAS business practices. If you have any questions related to privacy issues, please contact WCIAS customer service at 214-363-6920 or email