Privacy Policy

Candid Finance Chick, LLC recognizes the importance of protecting our clients’ privacy.

To fulfill its responsibilities to you, Candid Finance Chick, LLC requires that you provide current and accurate financial and personal information. You deserve to expect that Candid Finance Chick, LLC will protect the information you have provided in a manner that is safe, secure and professional. Candid Finance Chick, LLC and its employees are committed to protecting your privacy and to safeguarding that information.

We have policies to maintain the confidentiality and security of your nonpublic personal information. The following is designed to help you understand what information we collect from you and how we use that information to serve your account. 

Categories of Information We May Collect

In the normal course of business, we collect non-public customer data in checklists, forms, in written notations, and in documentation provided to us by our customers for evaluation, registration, licensing or related consulting services. We also create internal lists of such data. 

We may collect the following types of information:

  • Information you provide in the subscription documents and other forms (including name, address, social security number, date of birth, income and other financial-related information); and 
  • Data about your transactions with us (such as the types of investments you have made and your account status). 
Safeguarding Customer Documents

During regular business hours access to customer records is monitored so that only those with approval may access the files. During hours in which the company is not in operation, the customer records will be locked. 

No individual who is not so authorized shall obtain or seek to obtain personal and financial customer information. No individual with authorization to access personal and financial customer information shall share that information in any manner without the specific consent of a firm principal. Failure to observe Candid Finance Chick, LLC. procedures regarding customer and consumer privacy will result in discipline and may lead to termination.

How We Use Your Information That We Collect

Any and all nonpublic personal information that we receive with respect to our clients who are natural persons is not shared with nonaffiliated third parties which are not service providers to us without prior notice to, and consent of, such clients, unless otherwise required by law. In the normal course of business, we may disclose the kinds of nonpublic personal information listed above to nonaffiliated third party service providers involved in servicing and administering products and services on our behalf. Our service providers include, but are not limited to, our administrator and legal advisor.

Additionally, we may disclose such nonpublic personal information as required by law (such as to respond to a subpoena) or to satisfy a request from a regulator and/or to prevent fraud. Without limiting the foregoing, we may disclose nonpublic personal information about you to governmental entities and others in connection with meeting our obligations to prevent money laundering. In addition, if we choose to dispose of our clients’ nonpublic personal information that we are not legally bound to maintain, we will do so in a manner that reasonably protects such information from unauthorized access. The same privacy policy also applies to former clients who are natural persons.

Sharing Nonpublic Personal and Financial Information

Candid Finance Chick, LLC is committed to the protection and privacy of its customers’ and consumers’ personal and financial information. Candid Finance Chick, LLC will not share such information with any nonaffiliated third party except:

  • When necessary to complete a transaction in the account, such as with the clearing firm or account custodians; 
  • When required to maintain or service a customer account; 
  • To resolve customer disputes or inquiries; 
  • With persons acting in a fiduciary or representative capacity on behalf of the customer; 
  • With rating agencies, persons assessing compliance with industry standards, or to the attorneys, accountants and auditors of the firm; 
  • To protect against or prevent actual or potential fraud, identity theft, unauthorized transactions, claims or other liability; 
  • To comply with federal, state or local laws, rules and other applicable legal requirements; 
  • In connection with a written agreement to provide investment management or advisory services when the information is released for the sole purpose of providing the products or services covered by the agreement; 
  • When required by a regulatory agency, or for other reasons required or permitted by law; 
  • In any circumstances with the customer’s instruction or consent; or 
  • Pursuant to any other exceptions enumerated in the California Information Privacy Act.
Confidentiality and Security

We restrict access to nonpublic personal information about our clients to those employees and agents who need to know that information to provide products and services to our clients. We maintain physical, electronic and procedural safeguards to protect our clients’ nonpublic personal information. We respect and value that you have entrusted us with your private financial information, and we will work diligently to maintain that trust. We are committed to preserving that trust by respecting your privacy as provided herein. If you have any questions regarding this privacy notice, please contact us.