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Privacy Policy


Financial Designs, Ltd. Privacy Notice

Your Privacy Is Important to Us

We are committed to maintaining the confidentiality, integrity and security of your personal information. When you provide personal information, we believe that you should be aware of our policies to protect the confidentiality of that information.

Information We Collect

We collect nonpublic personal information about you from the following sources:

  • Information we receive from you on planning documents, statements, applications or other forms such as tax returns and estate planning documents;
  • Information about your transactions with us, our service providers, or others.

Disclosure of Your Information

We restrict access to nonpublic personal information about you to those employees with a legitimate business need for the information. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your nonpublic personal information.

From time to time, in the course of a planning engagement, or in order to provide better service to you, or to keep you advised of products and services that we think may be useful to you, we may disclose all of the relevant information that we collect.

We may disclose nonpublic personal information about you to the following types of third parties:

  • Our Broker-Dealer, Independent Financial Group, LLC;
  • Financial service providers, such as securities broker-dealers, third-party investment advisors, investment sponsors, mortgage bankers and insurance agents/brokers.

We may also disclose nonpublic personal information about you to nonaffiliated third parties as permitted by law. We may disclose nonpublic personal information about our former customers to the same extent as for our current customers. We may disclose all of the relevant information we collect, as described above, to companies that perform marketing services on our behalf or to other financial institutions with whom we have joint marketing agreements.

We reserve the right to disclose all of the information that we collect, as described above, to any affiliates that we may have at that time and to the following types of nonaffiliated third parties:

  • Financial service providers, such as securities broker-dealers, third-party investment advisors, investment sponsors, mortgage bankers and insurance agents/brokers;
  • Any new Broker-Dealer with whom we become registered.

We do not sell, share or disclose your nonpublic personal information with non-affiliated third party marketing companies for unrelated purposes.

Opt Out

If you prefer that we not disclose nonpublic personal information about you to nonaffiliated third parties, you may opt out of those disclosures, that is, you may direct us not to make those disclosures (other than disclosures permitted by law). If you wish to opt out of the disclosures to nonaffiliated third parties, you may e-mail us at: Compliance@financialdesignsltd.com or call us at 1-858-597-1980.

If you have any questions after reading this Privacy Policy, please contact us by writing to: Compliance Dept., Financial Designs, Ltd., 5075 Shoreham Place #200, San Diego, CA 92122 or via e-mail at: Compliance@financialdesignsltd.com.