Korving & Company LLC
Korving & Company LLC (“Korving & Co.” or the “Firm”) maintains physical, electronic and procedural safeguards that comply with federal standards to protect its clients’ non-public personal information (“information”). Through this policy and its underlying procedures, Korving & Co. strives to secure the confidentiality or integrity of customer records and information.
It is the policy of Korving & Co. to restrict access to current and former clients’ information (such as information and records pertaining to personal background, investment objectives, financial situation, tax information/returns, investment holdings, account numbers, or account balances) to those employees and entities who need to know that information in order to provide services to the client.
Korving & Co. may disclose client information if the Firm is: (1) previously authorized to disclose the information to individuals and/or entities not affiliated with the Firm, including but not limited to the client’s other professional advisers and/or service providers1; (2) required to do so by judicial or regulatory process; or (3) otherwise permitted to do so in accordance with the parameters of applicable federal and/or state privacy regulations.
The disclosure of information contained in any document completed by the client for processing and/or transmittal by Korving & Co. in order to facilitate the commencement, continuation or termination of a business relationship between the client and a non-affiliated third party service provider2, and any information contained in any document completed and/or executed by the client for the Firm3, shall be deemed as having been automatically authorized by the client with respect to the corresponding non-affiliated third party service provider.
1 - Professional advisers and/or service providers shall include, but shall not be limited to, an attorney, accountant, insurance agent, broker-dealer, investment adviser, or custodian.
2 - Non-affiliated third party service providers shall include, but shall not be limited to, a broker-dealer, investment adviser, custodian or insurance company.
3 - Firm documents shall include, but not be limited to, discretionary and non-discretionary advisory agreements, financial planning and consulting agreements, or client profile forms.