Davison Wealth Management LLC

Privacy Policy

 

We are committed to protecting your privacy and the confidentiality of your personal and financial information. The measures we take to keep your personal information private and secure are outlined below. The sharing of your information among our affiliates enables us to serve you more efficiently and makes it more convenient for you to do business with us. We are permitted by law to share information with our affiliates about your account history and your experiences with us. All of our affiliates follow similar privacy policies. 

 

How We Protect Confidentiality 

We use procedural physical and electronic system safeguards to store and secure information about you in compliance with federal standards. Our systems protect your information from unauthorized access, alteration, and destruction. Access is permitted only to those individuals within our organization who need the information to perform their job responsibilities. When we enter into agreements with other companies to provide services by us or to make products and services available to you, we include a confidentiality clause. Under such an agreement, these companies may receive information about you, but they may only use it for the intended purpose - to benefit you. 

 

Persons Covered by the Privacy Policy 

The Privacy Policy applies to anyone who is a current or former client or who registers with one of our services or promotional offers.  We provide you with a copy of this policy when you open an account, and we send you annual notifications thereafter. If we change our policy regarding the sharing of information, we will notify you in advance and give you the opportunity to "opt out” of such disclosure. 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, administer your account(s) and inform you of products and services that may be of interest. This data, known as non-public personal information, may be collected from several sources, including: applications and other forms you file with us (e.g., name, assets, income), 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. We ask that you review your information regularly to ensure that it is correct. Please contact your account representative directly if you need to correct or update your personal information. 

 

Sharing Information - With Whom and Why 

We do not sell your personal information to anyone. We restrict the types of information we share and the types of entities with Whom we share it The primary reason for sharing information about you is to increase your convenience in transacting business with us and to give you more financial service choices. We do not disclose your personal information to non-affiliated third parties, unless one of the following exceptions applies: We disclose personal information to service providers that assist us in processing your transactions or servicing your account(s). An example would be the company that prints and mails your account statement. We disclose or report personal information in limited circumstances when we believe in good faith that disclosure is required or permitted under law. For example, we would provide information in cooperation with securities regulators or law enforcement authorities, to resolve consumer disputes, or to perform credit evaluations and authenticate checks. 

 

Internet Security 

We do not retrieve account or personal information from visitors who browse the public (pre-logon) areas of our Web site.  Option to Opt Out and Change Notices If for any reason at any time in the future, we find it necessary to disclose any of your personal information in a way that is inconsistent with this policy. we will give you advance notice of the proposed change and the opportunity to opt out of such disclosure. For your reference, this policy has been posted to our Web site at www.rgdavison.com. If you have questions or concerns, please contact us via email at rick@rgdavison.com.

 

Special Statement to Customers Maintaining Margin Accounts 

Securities purchased on margin are the firm's collateral for the loan to you. If the securities in your account decline in value, so does the value of the collateral supporting your loan and, as a result, the firm can take action, such as issue a margin call and/or sell securities or other assets in any of your accounts held with the member. in order to maintain the required equity in the account. It is important that you fully understand the risks involved in the trading of securities on margin. 

 

These risks include the following: 




Although you may receive substitute payments in lieu of distributions, these payments may not receive the same tax treatment as actual interest, dividends. or other distributions, and you may therefore incur additional tax liability for substitute payments. The clearing firm may allocate substitute payments by lottery or in any other manner permitted by law, rule, or regulation. Please note that any substitute payments we make are voluntary and may be discontinued at any time.


 


Disclosure of Order Routing Information 


Under SEC Rule 606 (formerly11 A c 1-6), our clearing firm is required to prepare quarterly reports of orders routed on behalf of client orders that disclose the following information, the percentage of total customer orders that were non-directed, the percentage of total customer orders that were market orders, limit orders or other orders the identity of the venues too which a significant amount of orders were routed the percentage of routed orders to each venue terms of the material aspects of Southwest’s relationship with each venue. 


 


These reports are made public quarterly and are published no later than one month after the end of the quarter. You will have direct access to the current quarterly Rule 606 report in .PDF format. Pursuant to the rule, a client can request data from our clearing firm on the identity of the venue to which a client order was routed for execution. 


 


FINRA BrokerCheck 


The Financial Industry Regulatory Authority publishes an investor brochure that describes FINRA BrokerCheck. The FINRA BrokerCheck Hotline Number is 1-800-289-9999. The FINRA web site address is www.finra.org. Customer Complaints Clients may submit all complaints to the Compliance Officer by calling telephone 317-257-7078, or by writing Davison Wealth Management LLC., Attention Compliance Department, 202 West 81st Street, Indianapolis, IN 46260.