Privacy Notice

Huber, Weakland & Associates doing business as

HWA Financial Group

Privacy Policy

Our Commitment to Your Privacy:

We at HWA Financial Group (“HWA” or “Advisor”) are committed to preserving the confidentiality of our clients’.  We consider client confidentiality to be a professional obligation of the utmost importance and understand our clients’ have entrusted us with their private financial information. 

This notice is being provided to you in accordance with the Securities and Exchange Commission’s rule regarding the privacy of consumer financial information (“Regulation S-P”).  The notice explains our collection, use and safeguarding of client information. 

How We Gather Information:

In connection with providing clients wealth management services, we may obtain private personal information about them from the following sources:

• Information we receive from clients to open an account, provide investment advice or financial planning;
• Information we generate to service our clients (such as trade tickets, account statements, and conversations with accountants, lawyers and insurance professionals);
• Information we may receive from third parties and public sources.

What Information We Disclose:

We do not disclose non-public current or former client information to anyone without prior consent except when we believe it is necessary to conduct business or as required or permitted by law, such as:

• To service your account;
• If you request or authorize the disclosure of the information;
• In response to a subpoena or court order, judicial process, law enforcement or regulatory authorities;
• To protect against actual or potential fraud, unauthorized transactions, claims or other liabilities;
• To companies that perform services for us.

We will not sell your personal and financial information to any outside third party.

How We Protect Your Information:

We take steps to safeguard client information.  Individuals who have access to your personal information are required to keep it strictly confidential.  We restrict access to personal information to our staff and for business purposes only.  We maintain physical, electronic, and procedural safeguards to guard your personal information.

Our Privacy Policy applies to both current and former clients. 

Further Information:

We reserve the right to change this Privacy Policy.  The examples contained within this Privacy Policy are illustrations and they are not intended to be exclusive. 

Additionally, we are required to offer annually a written disclosure statement to each advisory client under SEC Rule 204-3 of the Investment Advisors Act of 1940.  If you would like a copy of this statement, which consists of a copy of Part II of Form ADV, and/or have questions regarding our Privacy Policy, please contact Philip E. Huber, Jr. at (410) 696-4025.

This notice has been provided to you pursuant to the Gramm-Leach-Bliley Act, which requires a financial institution to notify its customers of its privacy practices and procedures on an annual basis.  This notice is informational only.  No action on your part is required. 01/2020