Privacy Policy

Keeping client information secure is a top priority at Tom Flash, `LLC`. We provide this corporate policy statement to inform clients on how we handle information that we collect about you. The provisions of the policy statement apply to current and previous clients, as well as prospects.

We protect the personal information we collect about you by maintaining procedural safeguards that meet professional standards. Anyone who works for us is trained on how to properly handle personal information and we restrict access to it.

• The categories of personal information we collect on you come from the information we receive from you on applications, questionnaires, forms and documents needed to manage your account. Information such as name, address, social security number, telephone number, income, occupation, account balances, trading activity, previous investment experience and matters related to financial, taxes and estate planning.
• Information accumulates about you regarding your transactions, account balances, payment history and account activity while clients with our firm.

• Third parties that are not part of or under the control of Tom Flash, `LLC`. but are a part of our network of affiliates used to effect your account. Affiliates in the Financial Services Industry such as broker/dealers, insurance companies, tax specialists, tax attorneys, certified public accountants, financial and estate planners. Disclosure of personal information is only to these affiliates and not to other entities without your direction and prior approval. The only exception would be under court order of a legal authority or industry regulatory entity.

We do not disclose personal information to any non-affiliated third parties. This includes non-affiliated financial and non-financial companies engaged in direct marketing, telemarketing of consumer products and services including prospecting lists. We do not share information with others for compensation for prospecting purposes. Currently all marketing at Tom Flash, `LLC` is done in-house. While we may have purchased a prospecting list from time to time, we have never sold one that discloses the personal information of our clients. It is not our business or intent to ever do so.

Tom Flash, `LLC` Promise for Clients

Tom Flash, `LLC`. does not sell customer information to anyone. We will only share customer information with others as stated in this policy, unless we provided you with additional notice or asked your permission.

• We will safeguard with strict standards of security and confidentiality any information our clients share with us.
• We will limit the collection and use of customer information to the minimum we require in order to deliver superior service to our customers, which includes advising our clients about our products, services and other opportunities and to administer our business.
• We will permit only authorized individuals, employees who are industry professionals and authorized employees who are trained in the proper handling of confidential client information to access to that information. Any employee who violates our privacy promise is subject to the appropriate disciplinary process.
• We will not reveal client information to any external organization unless we have previously informed the customer in disclosures and/or agreements, have prior approval of the client or are required to do so by law or our regulators.
• For purposes of credit reporting, verification and risk management we will share information with professional, reputable reference sources and clearing-house services.
• We will not use or share - internally or externally - personally identifiable medical information for any purpose other than the underwriting or administration of insurance products, claims or account services.
• We will endeavor to keep customer files complete, up to date and accurate. We will inform our clients how and where to access their account information (except when we are prohibited to do so by legal or regulatory authorities) and how to notify us about errors which we will promptly correct.
• We will continuously assess ourselves to ensure that customer privacy is respected. We will conduct our business in a professional manner that fulfills our privacy promise to the clients, prospective clients and the former clients we do business with.

We are providing you with this privacy notice to help you understand how we handle personal information that we collect about you. Questions about our Privacy Policy can be mailed to:

Tom Flash, `LLC`