Ascendant Financial Solutions, Inc. Privacy Notice
Ascendant Financial Solutions, Inc. (“AFS”) prioritizes protecting your confidential information and values your right to privacy.
• Your account information and all documents you provide to us are protected in a secure environment
• We only collect personal information to accomplish our customer commitments to you
• Information about you is only used and shared in limited and controlled ways
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, electronic, and procedural safeguards are in place to protect your data.
Financial companies share your personal information, and federal law gives clients the right to limit some, but not all, sharing.
If we share information about you with non-affiliated third parties, you will be given options concerning what information may be shared, and your privacy wishes will be respected. You may also choose to opt out of any information sharing.
AFS collects personal information about you from the following sources:
• Applications and related forms
• Custodians or product vendors who provide account balance and transaction information
• Depending on the products you choose, consumer reports, medical reporting agencies, and others
We collect the following types of personal information:
• Contact information and other identifiers, such as name, postal address, email address, phone number, and Social Security
Number or Tax Identification Number
• Demographic and family information, such as date of birth, marital status, dependents, beneficiaries, citizenship, and information about related parties to an account
• Financial, professional, and educational information such as investment objectives and experience, assets, income, expenses,
net worth, tax status, holdings, transaction history, and employment information
We use personal information to:
• Assist in Identifying you as our customer or former customer
• Offer and provide products and services, such as opening accounts, communicating with you, providing investment recommendations, and making suitability determinations
• Comply with applicable regulatory and legal requirements
We may disclose the following categories of information to entities that perform administrative services on our behalf or as required or permitted by law for legal, regulatory, or other purposes:
• Information you provide directly to us on the New Account Form, Account Update Form, applications, or other forms
• Information we receive about your transactions
• If required for the products you purchase, information received from other agencies such as: consumer reporting agencies concerning your creditworthiness, motor vehicle and driver’s license reports, medical and employment information, and loss reports
AFS may disclose personal information to financial service providers that maintain or service your accounts, and as required or permitted by law, such as:
• Our staff, representatives and their affiliated businesses, and Heffernan Insurance Brokers
• Unaffiliated third parties that may include Gĕneos Wealth Management, Inc. a broker dealer, retirement plan sponsors, or third-party administrators and vendors who administer or enforce transactions or services investment companies, insurance companies and product vendors who provide you with financial products and or services
The privacy policy is the same for current and former clients. If you transfer your account, during the transfer process AFS may share your information with the new broker/dealer or custodian that you select. If the representative servicing your account joins another firm, they are permitted to retain copies of your information to continue to serve you at the new firm, although they are 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
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 will affirm our Privacy Policy at least 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.
California Residents: The California Consumer Privacy Act (CCPA) provides California residents with rights to receive certain disclosures regarding the collection, use and sharing of “Personal Information” as well as rights to know/access, delete and limit sharing of “Personal Information”. As a financial services organization, much of the information we collect is exempt from the CCPA because it is covered by federal or state privacy laws, such as the Gramm-Leach-Bliley Act.
The CCPA defines Personal Information to mean “information that identifies, relates to, describes, is reasonably capable of being associated with or could reasonably be linked, directly or indirectly, with a particular consumer or household.” We do not sell your Personal Information; however, as described in this policy, we do disclose information about you to third parties who provide you with financial products and services.
To the extent that we collect Personal Information that is subject to the CCPA, you have the right to request access to Personal Information we have collected about you in the preceding 12 months, the purposes for which we collected it, and the categories of third parties with whom we shared it. Additionally you have the right to request in certain circumstances that we delete any Personal
Information that we have collected directly from you; however, there may be certain exceptions as defined in the CCPA that prevent or limit our ability to comply with your request. To submit a request to exercise your right to access or delete your Personal Information under the CCPA, please call us at 928-774-9598 or submit a written request to us at:
Ascendant Financial Solutions
809 West Riordan, Suite 104
Flagstaff AZ 86001
All requests are subject to a verification process. Requests by an authorized agent are subject to additional documentation requirements as described below.
To process your request to access or delete Personal Information we collect; we must verify your request. We do this by requesting that you verify personal identifiers, such as your name, address, date of birth, and account number that we have previously collected from you.
You may authorize another individual or business to make requests on your behalf. We require that you provide legal documentation confirming the identity and authority of an authorized agent to act on your behalf. Such documentation may include but is not limited to, a power of attorney, court documents (letters of testamentary, guardianship documents), or notarized statements.