Privacy & Cyber Security Policy

 

Sigma Advisors, LLC enacts strict policies to protect the security and confidentiality of your personal information. Personal information is only collected to open your account(s), to process your transactions, and to help provide a better level of service.

 

Such information can be separated into the following categories:

 

Personal Information - This information may include, among other things, your name, address, phone number, social security number, marital status, spousal information if married, your occupation and employer, your tax bracket, name, address, and social security number of your beneficiaries, personal financial information that you provide on new account applications or other forms, or any additional information that you wish to share with us as your Advisor.

 

Information Regarding Your Account History - As part of establishing a business relationship with you, we collect and maintain information regarding your investment transactions and other activities.  This includes items such as your account balance, payments, withdrawals, account activity, and correspondence with you.

 

Trust and Estate Information – As part of our trust or estate planning process, personal and financial documents such as trust agreements, wills, and tax records may be retained. All legal services are provided by Ethan M. Rush, Attorney at Law. Information and documentation produced and/or obtained pursuant to these services is not disclosed to any other member or employee of Sigma, unless it is specifically authorized by you in writing.

 

Sigma Advisers, LLC (Sigma) will not, under any circumstances, sell your personal or account information to anyone or disclose any client information to third parties for marketing purposes.  Client information would only be disclosed to third parties in the following limited circumstances:

 

Personal information will only be disclosed to entities that facilitate our business relationship with you (i.e. brokerage firms that implement the trades on your behalf) or as requested by you (i.e. your CPA or other personal or professional Advisors).

 

We may disclose or report personal information in limited circumstances where it is believed in good faith the disclosure is required by law; for example, to cooperate with regulators or law enforcement authorities.

 

Information is only shared to entities when it is essential to fully service clients and to satisfy legal and regulatory obligations. All of these entities have legal or other obligations with respect to the use and disclosure of your information. In addition, some of these entities may have to provide you their own privacy policies.  We also maintain physical, electronic, and procedural safeguards that comply with federal and industry standards to guard your nonpublic personal information.

 

If you identify any inaccuracy in your personal information, or you need to make a change to that information, please contact us so that we may promptly update our records. 

 

 

CYBERSECURITY PRACTICES:

 

The following measures have been adopted by Sigma to safeguard your personal data:

 

Mainframe:  In order to access your investment accounts via a third-party custodian, Dual Factor Authentication is always used.  In addition to the use of a 256-bit encrypted Password, account access is only granted with an additional physical Key which resets its numerical code every 30 seconds.

 

Passwords:  Passwords which may be used to access mainframe systems are never physically recorded.  Should such a password become locked, it can only be unlocked from a system administrator at the custodian’s main office.

 

Email:  We do not consider email a secure form of communication; therefore, all email communications should only be used for general purposes.  Account numbers, social security numbers, or any other identifying data or confidential information, should never be transmitted via email.

 

Website:  Sigma has a presence on the web at www.sigadvisers.com.  This site is designed to be static and contains no client data.  It is used strictly for generic informational purposes.

 

If, at any time in the future, it is necessary to disclose any of your personal information in a way that is inconsistent with this policy, we will give you advanced notice of the proposed change so that you will have the opportunity to opt-out of such disclosure.

 

Updated June 9, 2019