Privacy Policies

Capital Shield Guard (“Capital Shield Guard”, “firm”, “we”, or “our”), as a Registered Investment Adviser, is covered under the definition of a “financial institution” under the Gramm-Leach-Bliley Act and the Securities and Exchange Commission’s (“SEC”) Privacy of Consumer Financial Information Rule (“Regulation S-P”).

The staff of Capital Shield Guard realizes that providing personal information is an act of trust. Capital Shield Guard values its clients’ trust and confidence. We will never sell or share the nonpublic personal information obtained from or in reference to clients. All information provided by clients to Capital Shield Guard and its staff, and information and advice furnished to clients by us, shall be treated as confidential and shall not be disclosed to affiliated or unaffiliated third parties, except as permitted or directed by clients with written authorization, by application to facilitate the investment services offered by the firm via an unaffiliated financial services provider, or as required by any rule, regulation or law.

Commitment to your private information

Capital Shield Guard is committed to safeguarding the confidential information of its clients. Capital Shield Guard holds all personal information provided by clients in the strictest confidence and it is the objective of the firm to protect the privacy of all clients. Except as permitted or required by law, Capital Shield Guard does not share confidential information about clients with non-affiliated parties. It is our policy to restrict access to all current and former clients' information (i.e., information and records pertaining to personal background, investment objectives, financial situation, tax information/returns, investment holdings, account numbers, account balances, etc.) to those employees and affiliated/non-affiliated entities who need to know that information in order to provide products or services in furtherance of the client's engagement of Capital Shield Guard. Capital Shield Guard permits only authorized employees and affiliates who have acknowledged receipt and understanding of our Privacy Policy (by acknowledging and accepting our firm’s Compliance Policies and Procedures) to have access to client information. Employees violating Capital Shield Guard’s Privacy Policy will be subject to our disciplinary process. If there are any changes to this policy, we will provide clients with written notice and clients will be provided an opportunity to direct Capital Shield Guard as to whether such changes are permissible.

Why We Collect and How We Use Information.

To conduct regular business, Capital Shield Guard may collect personal information from sources such as:

• Information reported by the client on applications or other forms the client provides to the firm
• Information about the client’s transactions implemented by the firm or others
• Information developed as part of financial plans, analyses, or investment advisory services

To administer, manage, service, and provide related services for client accounts, it is necessary for Capital Shield Guard to provide access to client information within the firm and to non-affiliated companies, with whom we have entered into agreements.

The disclosure of information contained in any document completed by the client for processing and/or transmittal by Capital Shield Guard to facilitate the commencement/continuation/termination of a business relationship between the client and/or between Capital Shield Guard and a non-affiliated third party service provider (i.e., broker-dealer, investment adviser, account custodian, record keeper, insurance company, etc.), including, but not limited to, information contained in any document completed and/or executed by the client in furtherance of the client's engagement of Capital Shield Guard (i.e., advisory agreement, client information form, etc.), shall be deemed as having been automatically authorized by the client with respect to the corresponding non-affiliated third-party service provider.

Sharing Information with Other Companies Permitted Under Law.

Capital Shield Guard may disclose the client's information:

1. to individuals and/or entities not affiliated with Capital Shield Guard , including, but not limited to the client's other professional advisors and/or certain service providers (i.e., attorney, accountant, insurance agent, broker-dealer, investment adviser, account custodian, record keeper, proxy management service provider, etc.) that may be recommended or engaged by Capital Shield Guard in furtherance of the client's engagement of Capital Shield Guard ;
2. required to do so by judicial or regulatory process; or
3. otherwise permitted to do so in accordance with the parameters of applicable federal and/or state privacy regulations.

Since Capital Shield Guard shares nonpublic information solely to service client accounts, the firm does not disclose any nonpublic personal information about the firm’s customers or former customers to anyone, except as permitted by law. In the event that the firm has a change to its client privacy policy that would allow it to disclose non-public information not covered under applicable law, the firm will allow its clients the opportunity to opt out of such disclosure. Finally, Capital Shield Guard strives to only recommend financial services providers that share its privacy policies; however, clients are encouraged to request each specific firm’s written policy for review.

Information Security.

Capital Shield Guard maintains physical, electronic, and procedural safeguards that comply with federal standards to protect its clients' nonpublic personal information. Through this policy and its underlying procedures, Capital Shield Guard attempts to secure the confidentiality of customer records and information and protect against anticipated threats or hazards to the security or integrity of customer records and information. Capital Shield Guard maintains client records in a controlled environment and records are only available to authorized persons of the firm who have a need to access client information in order to deliver advisory services or respond to client requests. Capital Shield Guard’s policy to protect client information extends beyond the termination of the Engagement Letter or Client Agreement.

Children

Our company website is not directed to children under the age of 18 years. By accessing and using our website, you represent and warrant that you are at least 18 years old.

Former Clients.

Even if we cease to provide you with financial products or services, our Privacy Policy will continue to apply to you, and we will continue to treat your nonpublic information with strict confidentiality.

Changes to this Policy.

Capital Shield Guard will provide each client with initial notice of the firm's current privacy policy when the client relationship is established. We will also provide each client with a new notice of the firm’s current privacy policy at least annually. If, at any time, Capital Shield Guard adopts material changes to its privacy practices, the firm shall provide each client with a revised notice reflecting the new privacy practices.

Contact Us:

Clients are encouraged to discuss any questions regarding privacy policies and procedures directly with our support department. support@Capital Shield Guard.com