Privacy Policy

Warren Financial Privacy Policy


Our Commitment to Privacy

Warren Financial has always been committed to maintaining the confidentiality, integrity and security of personal information about our previous, current and prospective customers. We are proud of our privacy practices and want you to know how we protect this information and use it to service your account.
We hope you will take a moment to review the full privacy policy of the Warren Financial.
The privacy policies of Warren Financial are reviewed annually. Our printed and online notices are then updated to reflect any material changes.
You do not have to contact us to benefit from WFS’s privacy protections; they apply automatically to all of our customers.

How and Why We Obtain Personal Information

WFS uses personal information about you to provide you with the superior service you expect from us. We may use this information to develop, offer, and deliver products and services; process transactions in your account; respond to inquiries from you or your representative; or to fulfill legal and regulatory requirements. WFS may collect public and nonpublic personal information about you from any of the following sources:

  • You or your representative on applications or forms (for example, name, address, Social Security number, birth date, assets and income)
  • Transactional activity in your account (for example, trading history and balances)
  • Other interactions with WFS (for example, discussions with our advisors)
  • Information services and consumer reporting agencies (for example, to verify your identity, or to better understand your product and service needs)
  • You or your representative regarding your preferences (for example, paper statements vs. electronic statements, or the screen layout you specify if you use our Internet sites)
  • Other sources with your consent or with the consent of your representative (for example, from other institutions if you transfer positions under WFS supervision)

How We Protect Your Information

WFS has always considered the protection of sensitive information to be a foundation of customer trust and a sound business practice. We employ extensive physical, electronic and procedural controls in keeping with industry standards and practices, and we regularly adapt these controls to respond to changing requirements and advances in technology.
Within WFS, we restrict access to personal information to those who require it to provide products and services to you. We may share the personal information that we collect with the following entities:

  • Employees of WFS
  • Unaffiliated service providers (for example, Fidelity Investments or whatever broker or custodian you choose, fulfillment companies and securities clearinghouses)
  • Government agencies, other regulatory bodies and law enforcement officials (for example, for tax purposes)
  • Other organizations, with your consent or as directed by your representative (for example, if you use WFS as a financial reference in applying for credit with another institution)
  • Other organizations, as permitted by law (for example, for fraud prevention)

Privacy Online

Privacy, security and service in our online operations are just as critical as in the rest of our business. We therefore employ all of the safeguards described above, along with the following Internet-specific practices.
WFS uses a variety of proven protections to maintain the security of your online session. For example, we make extensive use of firewall barriers, encryption techniques and authentication procedures. We may also place cookies and similar files on your hard drive for security purposes, to facilitate site navigation, and to personalize your experience on our site.
When you visit WFS’s Internet sites, we may also collect technical and navigational information, such as computer browser type, Internet protocol address, pages visited, and average time spent on our Web sites. This information may be used, for example, to alert you to software compatibility issues, or it may be analyzed to improve our Web design and functionality.
Disclaimer: After the Equifax breech, where the record of nearly every adult in America was lost to hackers along with social security numbers, date of birth, and other sensitive information, it is safest for clients to assume that all sensitive data is already available to hackers on the web and rather than trying to “protect” data that is already lost, we recommend “locking” your credit history to prevent abuse. Even the US Gov’t has been hacked, so it would be foolish to assume that Warren Financial is impervious to hacking. Regardless of the information that has been lost by Equifax, Target, or government agencies, Warren Financial continues to implement “best practices” to protect from breeches. Visit our website for our white paper regarding protecting yourself from hackers (Equifax paper).

Your Connection to WFS

You may interact with us in various ways, and when you do, we may exchange information with parties in addition to those described above. For example, if you conduct business with WFS through your employer, we may exchange the information we collect with them, or with others at their direction. If we
provide services to you on behalf of your employer, we may collect and exchange information such as payroll, banking and insurance data, in addition to the information listed above.
If you interact with WFS directly as an individual investor, we will not share this individual investor information, under joint marketing agreements with non-affiliated, financial services business partners, to offer discounts or other special access to products and services.
If you are a former customer, we treat your information in the same manner as that of current customers.
For your convenience, WFS offers several options for accessing and, if necessary, correcting your account information. You can review your information independently using your statements. You may also e-mail, write or call us with your request for information.