Disclosures
Disclosures
Information about our credentials, regulatory filings, privacy practices, and general disclosures required of registered investment advisors.
Credentials
CFP® Certification
Certified Financial Planner Board of Standards Center for Financial Planning, Inc. owns and licenses the certification marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the United States to Certified Financial Planner Board of Standards, Inc., which authorizes individuals who successfully complete the organization's initial and ongoing certification requirements to use the certification marks.
Regulatory Filings
Form ADV
Form ADV is the disclosure document we file with the U.S. Securities and Exchange Commission. Part 2A describes our business practices, fees, conflicts of interest, and code of ethics. Part 2B covers the background of our advisors.
Privacy
Privacy Policy
Klein Wealth Management, LLC considers the privacy of its clients to be of fundamental importance and has established a policy to maintain the confidentiality of the information you share with us.
In providing asset management services to you, we collect certain nonpublic information about you. Our policy is to keep this information confidential and strictly safeguarded, and to use or disclose it only as needed to provide services to you, or as permitted or required by law. This policy is applicable to information for current and former clients.
Information we collect
The personal information we collect directly from you includes information required to communicate with you and assist us in effectively addressing your financial needs. This information could include:
- Your name and address
- Investment objectives and experience
- Financial circumstances
- Account balance and account transactions
- Social security number
- Employment information
We collect your personal information, for example, from the following sources:
- Information we receive from you on applications and other forms
- Information about your transactions with us or others
We also collect your personal information from others such as custodians, such as Schwab, broker/dealers and other companies.
How information is used
All financial companies need to share client personal information to run their everyday business. We use information about you to provide our asset management services to you. We may disclose the information to third parties as permitted by law, including the broker/dealers, custodians or other companies used to provide services to you. From time to time, we may be required to give information about our business to regulatory authorities. This may include personal information about you. We do not sell your personal information to anyone.
How information is safeguarded
We have procedures in place that we believe are reasonably designed to protect the security and confidentiality of your information. These include confidentiality agreements with companies we hire to help us provide services to you, password-protected user access to our computer files, training of employees, and strict confidentiality policies that apply to all employees.
Contact Information
If you have any questions, concerns or comments about our privacy policy, you may contact Bryan Klein at 904-910-1426.
Disclaimers
General Disclosures
- This website is for informational and educational purposes only. Nothing on this site should be construed as a solicitation or offer to buy or sell any securities, investments, or investment strategies.
- Past performance is not indicative of future results. Investing involves risk, including the possible loss of principal.
- Klein Wealth Management, LLC is a registered investment advisor. Charles Schwab serves as the firm's custodian; Klein Wealth Management, LLC is not affiliated with Charles Schwab.
- Links to third-party websites are provided as a convenience. Klein Wealth Management, LLC does not endorse the content of any linked site and is not responsible for its accuracy.