Broker Check

AFS Privacy Policy

Ascendant Financial Solutions, Inc.

Privacy Notice

Ascendant Financial Solutions, Inc. values you as a client and makes it a top priority to safeguard your confidential information. We are committed to protecting your privacy and maintaining your trust and confidence.

Financial Companies choose how they share your personal information. Federal law gives clients the right to limit some but not all sharing. It also requires us to tell you how we protect collect and share your personal information. Please read this notice carefully to understand what we do.

We maintain physical, electronic and procedural safeguards to ensure your personal information is treated responsibly and in accordance with our privacy policy. We train our staff to take caution in handling personal information. We restrict access to nonpublic information about you to personnel that need to know such information to assist in providing products and services to you or need the information to conduct Ascendant Financial Solutions Inc. business. Personnel who have access to your information may only use it for legitimate business purposes. In addition, we act to protect your information in accordance with applicable data security regulations.

Ascendant Financial Solutions, Inc. collects information about you to assist us in providing services and products to help you meet your financial goals and objectives and provide high standards of customer service. Additionally, information is obtained from you in order to help us fulfill our legal and regulatory requirements. Information collected may vary depending on the products and services requested and the scope of your engagement with us. Ascendant Financial Solutions, Inc. collects nonpublic personal information about you from the following sources:

  • Information provided on the Ascendant Financial Solutions, Inc. new account form, applications and related forms. This may include information such as your name, address, telephone number, Social Security or Tax Identification number, birth date, net worth, annual income, and medical information if insurance services are provided.
  • Information about your transactions with us, such as account balances, numbers, and activity. This may be obtained from custodians or product vendors
  • Information from your employer, association or benefit plan sponsor regarding any group products we may provide or assist in reviewing on your behalf.
  • Depending on the product you are purchasing, information from consumer reporting agencies, demographic information and medical information may be obtained.

We may disclose personal information obtained from you to financial service providers that service or provide support to your accounts, as permitted under law, such as:

  • Geneos Wealth Management, Inc, our broker/dealer
  • Third parties which provide you with financial products and services
  • Insurance agents and insurance companies
  • Investment companies
  • Third-party administrators and vendors hired to administer or enforce transactions or services in your accounts.
  • Consumer reporting agencies in connection with your application or renewal of insurance coverage.

We do not disclose information to nonaffiliated third parties about our current or former customers except as permitted by law. However, should for any reason our policy change, we will notify you by providing you with an amended Privacy Notice prior to making disclosure of your nonpublic information to nonaffiliated third parties.

Additionally, we may be required by law or regulation to disclose information to third parties such as in response to a subpeoena, to prevent fraud, to comply with rules and regulations to which we are subject, in response to inquiries from industry regulators, and in order to comply with our broker/dealer’s policies with whom our associated persons may be registered.

If you close your account, cease services with us, or become an inactive customer, we will continue to adhere to the privacy policy disclosed herein, unless we notify you by providing an amended Privacy Notice.

We will affirm our Privacy Policy annually in writing, provided you maintain an ongoing relationship with us.

A special note about medical or health information:

While we might receive medical or health information from you at the time of application form various types of insurance, we do not use it or share it internally or externally of any purpose other than what is directly related to the administration of your policy, account or claim, as required or permitted by law, or as you authorize us.