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

  • Information we receive from you on applications or other forms:

  • Information about your transactions with us, our affiliates, or others; and

  • Information we receive from a consumer-reporting agency

We do not disclose any nonpublic personal information about our customers or former customers to anyone, except as permitted by law, or with express permission from you. 

We restrict access to nonpublic personal information about you to those employees and vendors who need to know that information to provide products or services to you. We maintain physical, electronic, and procedural safeguards that comply with Federal standards.

 

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USA Patriot Act 

Effective October 1, 2003, G. W. Sherwold Associates, Inc. is required by the USA PATRIOT Act’s Customer Identification Program (CIP) to implement reasonable procedures to verify the identity of any person establishing an account. 

Federal law requires all financial institutions to obtain, verify and record information that identifies each person who opens an account. 

In addition, prospective customers must be given notice that G. W. Sherwold Associates, Inc. is requesting information to verify their identity. 

Important Information About Procedures for Opening a New Account
To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.

What this means for you: When you open account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver’s license or other identifying documents.

 

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Complaint Inquiries 

We feel confident that we will have a mutually satisfying business relationship, with all of our clients, as we have for many years. If, however, you feel the need to register a complaint, it should be directed to: Gary Sherwold, President, G. W. Sherwold Associates, Inc., 22994 El Toro Road, Lake Forest, CA 92630, 949-470-0700
 

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FINRA Information 
G. W. Sherwold Associates, Inc. is a member of the Financial Industry Regulatory Authority, otherwise known as FINRA. Additional information about FINRA and its role in investor protection and education can be found at the FINRA website: www.finra.org. Additionally, 
FINRA operates a Public Disclosure Program where customers can obtain information about the broker that customers are working with. A brochure describing the services can be found on the FINRA website under the “Investor Information” tab or by contacting FINRA directly at (301) 590-6500. 
 

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SIPC Information 

G. W. Sherwold Associates, Inc. is a member of the Securities Investor Protection Corporation, otherwise known as SIPC. SIPC is the first line of defense in the event a brokerage firm fails owing customers cash and securities that are missing from customer accounts providing up to $500,000.00 in coverage. Additional information about the role of SIPC including obtaining a copy of the SIPC brochure can be found at the SIPC website: 
www.sipc.org or by contacting SIPC directly at the following address and telephone number: 

Securities Investor Protection Corporation (SIPC)
805 15th Street, N. W. Suite 800
Washington, DC 20005-2215

Tel: (202)371-8300
Fax: (202)371-6728
Email: asksipc@sipc.org