Broker Check

AFS Privacy Policy

Ascendant Financial Solutions, Inc. Privacy Notice


Ascendant Financial Solutions, Inc. (“AFS”) prioritizes protecting your confidential information. Financial companies share your personal information and federal law gives clients the right to limit some, but not all, of that sharing.


AFS maintains safeguards to ensure your information is protected. Access to nonpublic information is restricted to those personnel who need it to provide service to you or to conduct AFS business. Physical and electronic safeguards are also in place to further protect your data.


AFS collects information to provide services and products to help you meet your financial goals and objectives and to comply with regulatory requirements. Nonpublic information comes from various sources including, but not limited to:

  • Applications and related forms which include your Social Security or Tax ID number, birthdate, financial information, and medical information (for insurance services)
  • Custodians or product vendors who provide account balance and transaction information
  • Employer, Association, or Benefit Sponsor for group products
  • Consumer reports, demographic, and medical reporting agencies, depending on products you have chosen


AFS may disclose personal information to financial service providers to maintain or service your accounts, and as permitted by law, such as:

  • Geneos Wealth Management, Inc. a broker/dealer
  • Custodians, investment companies, and product vendors who provide you with products and/or services
  • Insurance agents and insurance companies
  • Third-party administrators and vendors who administer or enforce transactions or services
  • Consumer reporting agencies in connection with insurance coverage


Medical or health information obtained is not used nor shared internally or externally for any purpose other than directly related to the administration of your policy, account, or claim, as required or permitted by law, or as authorized by you.


AFS does not disclose information to nonaffiliated third parties about our current or former clients except as required by law. If our policy changes, you will be notified by receiving an amended Privacy Notice prior to disclosing your information. You will be given options concerning what information may be shared. You may also choose to opt out of information sharing with nonaffiliated third parties


AFS may be required by law or regulation to disclose information to a third party in response to a subpoena, to prevent fraud, to comply with regulations, in response to industry regulators, and in order to comply with Geneos Wealth Management, Inc.’s policies to whom our associated persons are registered.


If you transfer your account, AFS may share your information with the new broker/dealer or custodian that you select. If the representative servicing your account joins another firm, s/he is permitted to retain copies of your information to continue to serve you at the new firm. S/he is still required to keep your personal information confidential and may only use it to service your account.  If you wish to opt out of having your representative take your personal information if they leave AFS, please send a written request to:

Ascendant Financial Solutions

809 West Riordan, Suite 104

Flagstaff AZ 86001


AFS will affirm our Privacy Policy annually in writing, provided you maintain an ongoing relationship with us. If you close your account or cease services with us, we will continue to adhere to the Privacy Policy unless we notify you by providing an amended Privacy Notice.



2019 08/16