Privacy Policy
Government Required Regulations
Compliance with the Gramm-Leach-Bliley Act Public Law 106-102 (FTC 16 CFR Part 313)
In order to meet the requirements of the Gramm-Leach-Bliley Act of 1999, I am writing to ensure you are aware our firm’s privacy policy.
We collect nonpublic personal information about you from the following sources:
We restrict access to nonpublic personal information about you to members of our firm who need to know that information to provide services to you and in limited situations, to unrelated third parties who need to know that information to assist us in providing services to you . We maintain physical, electronic and procedural safeguards that comply with federal regulations to store and secure your nonpublic personal information.
Please contact our office if you would like to receive more detailed information about the new rules or if you have any questions or concerns.
Financial Planning
Perryman Financial Advisory, Inc., an independent financial planning firm, and Perryman Securities, Inc., a broker-dealer, are committed to safeguarding the confidential information of its clients. We hold all personal information provided to our firm in the strictest confidence. These records include all personal information that we collect from you in connection with any of the services we provide. We have never disclosed information to nonaffiliated third parties, except as permitted by law, and do not anticipate doing so in the future. If we were to anticipate such a change in firm policy, we would be prohibited under law from doing so without advising you first. As you know, we use financial information that you provide to us to help you meet your personal financial goals while guarding against any real or perceived infringements of your rights of privacy. Our policy with respect to personal information about you is listed below.
We limit employee and agent access to information only to those who have a business professional reason for knowing; and only to nonaffiliated parties as permitted by law. (For example, federal regulations permit us to share a limited amount of information about you with a brokerage firm in order to execute securities transactions on your behalf, or so that our firm can discuss your financial situation with your accountant or lawyer.)
We maintain a secure office and computer environment to ensure that your information is not placed at unreasonable risk.
The categories of nonpublic personal information that we collect from a client depend upon the scope of the client engagement. It will include information about your personal finances, information about your health to the extent that it is needed for the planning process, and information about transactions between you and third parties.
For unaffiliated third parties that require access to your personal information, including financial service companies, consultants, and auditors, we also require strict confidentiality in our agreements with them and expect them to keep this information private. Federal and state regulators also may review firm records as permitted under law.
We do not provide your personally identifiable information to mailing list vendors or solicitors for any purpose.
Personally identifiable information about you will be maintained during the time you are a client, and for the required time thereafter that such records are required to be maintained by federal and state securities laws. After this required period of record retention, all such information will be destroyed.
If you have any questions or concerns, please feel free to call us at (972)770-4800.
Business Continuity Plan
Perryman Financial Advisory, Inc., an independent financial planning firm, and Perryman Securities, Inc., a broker-dealer, have developed a Business Continuity Plan on 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 are providing you with this information on our business continuity plan.
Contacting Us – If after a significant business disruption you cannot contact us as you usually do at (972)770-4800, you should go to our web site at www.billperryman.com and contact us by e-mail.
Our Business Continuity Plan – 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.
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 a feasible period of time. 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 a feasible period of time. In either situation, we plan to continue in business and notify you through our web site www.billperryman.com or our customer emergency number, (972)770-4800 how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.
Nancy K. Phillips is a Registered Representative of Perryman Securities Inc. Member FINRA and SIPC and is a CFP® registered with Perryman Financial Advisors Inc. As such she will share in commissions and advisory fees received from investments made or advice received.
Compliance with the Gramm-Leach-Bliley Act Public Law 106-102 (FTC 16 CFR Part 313)
In order to meet the requirements of the Gramm-Leach-Bliley Act of 1999, I am writing to ensure you are aware our firm’s privacy policy.
We collect nonpublic personal information about you from the following sources:
- Information we receive from you on applications, tax preparation organizers, worksheets, and other documents used in tax preparation or providing financial services, or other forms;
- Information about your transactions with us, or affiliates, or others; and,
- Information we receive from a consumer-reporting agency.
We restrict access to nonpublic personal information about you to members of our firm who need to know that information to provide services to you and in limited situations, to unrelated third parties who need to know that information to assist us in providing services to you . We maintain physical, electronic and procedural safeguards that comply with federal regulations to store and secure your nonpublic personal information.
Please contact our office if you would like to receive more detailed information about the new rules or if you have any questions or concerns.
Financial Planning
Perryman Financial Advisory, Inc., an independent financial planning firm, and Perryman Securities, Inc., a broker-dealer, are committed to safeguarding the confidential information of its clients. We hold all personal information provided to our firm in the strictest confidence. These records include all personal information that we collect from you in connection with any of the services we provide. We have never disclosed information to nonaffiliated third parties, except as permitted by law, and do not anticipate doing so in the future. If we were to anticipate such a change in firm policy, we would be prohibited under law from doing so without advising you first. As you know, we use financial information that you provide to us to help you meet your personal financial goals while guarding against any real or perceived infringements of your rights of privacy. Our policy with respect to personal information about you is listed below.
We limit employee and agent access to information only to those who have a business professional reason for knowing; and only to nonaffiliated parties as permitted by law. (For example, federal regulations permit us to share a limited amount of information about you with a brokerage firm in order to execute securities transactions on your behalf, or so that our firm can discuss your financial situation with your accountant or lawyer.)
We maintain a secure office and computer environment to ensure that your information is not placed at unreasonable risk.
The categories of nonpublic personal information that we collect from a client depend upon the scope of the client engagement. It will include information about your personal finances, information about your health to the extent that it is needed for the planning process, and information about transactions between you and third parties.
For unaffiliated third parties that require access to your personal information, including financial service companies, consultants, and auditors, we also require strict confidentiality in our agreements with them and expect them to keep this information private. Federal and state regulators also may review firm records as permitted under law.
We do not provide your personally identifiable information to mailing list vendors or solicitors for any purpose.
Personally identifiable information about you will be maintained during the time you are a client, and for the required time thereafter that such records are required to be maintained by federal and state securities laws. After this required period of record retention, all such information will be destroyed.
If you have any questions or concerns, please feel free to call us at (972)770-4800.
Business Continuity Plan
Perryman Financial Advisory, Inc., an independent financial planning firm, and Perryman Securities, Inc., a broker-dealer, have developed a Business Continuity Plan on 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 are providing you with this information on our business continuity plan.
Contacting Us – If after a significant business disruption you cannot contact us as you usually do at (972)770-4800, you should go to our web site at www.billperryman.com and contact us by e-mail.
Our Business Continuity Plan – 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.
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 a feasible period of time. 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 a feasible period of time. In either situation, we plan to continue in business and notify you through our web site www.billperryman.com or our customer emergency number, (972)770-4800 how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.
Nancy K. Phillips is a Registered Representative of Perryman Securities Inc. Member FINRA and SIPC and is a CFP® registered with Perryman Financial Advisors Inc. As such she will share in commissions and advisory fees received from investments made or advice received.