Client Privacy Policy Notice
Our Promise to You
As a client or becoming a client of Mission Wealth Management, LP (MWM), you share both personal and financial information with us. Your privacy is paramount, and we are dedicated to safeguarding your data.
Information Provided by Clients
In the normal course of doing business, we typically obtain the following nonpublic personal information about our clients:
- Personal identity such as name, address, date of birth, social security number, occupation, and financial goals;
- Information regarding securities transactions effected by us;
- Financial information such as net worth, assets, income, accounts and balances, and
- Information about your visit to our website/client portals.
How We Manage and Protect Your Personal Information
We do not sell information about current or former clients to third parties, nor is it our practice to disclose such information to third parties unless requested to do so by a client or client representative or, if necessary, in order to process a transaction, service an account, complete an analysis or as permitted by law. Additionally, we may share information with outside companies that perform services for us or function on our behalf, including financial service providers, such as a clearing broker-dealer, investment company, or insurance company; our attorneys, accountants, or auditors; and a client’s attorney, trustee, or anyone else who represents clients in a fiduciary capacity.
However, our contractual arrangements with these service providers require them to treat your information as confidential. Information may be used among companies that perform support services for us, such as data processors, client relationship management technology, technical systems consultants and programmers, or companies that help us market products and services to you for a number of purposes, such as:
- To protect your accounts/non-public information from unauthorized access or identity theft;
- To process your requests, such as securities purchases and sales; • To establish or maintain an account with an unaffiliated third party, such as a clearing broker-dealer;
- To service your accounts, such as by issuing checks and account statements; and
- To comply with Federal, State, and Self-Regulatory Organization requirements.
In order to protect your personal information, we maintain physical, electronic and procedural safeguards to protect your personal information. Our Privacy Policy restricts the use of your information and requires that it be held in strict confidence. Our firm is also required to maintain an Identity Theft Protection Program (“ITPP”) to help identify and detect potential red-flags to prevent and mitigate identity theft. In addition, internal policies and procedures are in place to address cyber security.
Your Right to Opt Out
Federal privacy laws give you the right to restrict some sharing of your personal financial information. These laws balance your right to privacy with our firm’s need to provide information for normal business purposes. If you opt out, you limit the extent to which our firm can provide your personal financial information to non-affiliates.
Closed or Inactive Accounts
If you decide to close your account(s) or become an inactive customer, our Privacy Policy will continue to apply to you.
Client Notifications
We are required by law to provide a notice describing our privacy policy annually and inform you promptly if our policy changes. Any complaints can be directed to the contact listed below. Please do not hesitate to contact us with questions about this notice.
Contact Information
Brad Stark, CCO | Mission Wealth Management, LP
(805) 882-2360
bstark@missionwealth.com
Ref: CA-1354 03/2025
