Privacy Policy

Regulation S-P, Privacy of Consumer Financial Information under SEC rules, requires financial institutions, including Advisor, to provide notice to current clients and prospective clients about their policies and practices concerning the collection and use of customer, non-public information. This privacy policy notice is given to all prospective clients of Advisor upon entering into a contract with Advisor and annually thereafter.

Privacy Disclosure Statement

A primary goal of Advisor is to protect the privacy of its clients. Advisor does not sell the personal information of clients to anyone. To conduct regular business, Advisor may collect non-public personal information from clients. This information is provided by clients to Advisor on applications and other forms provided by clients to Advisor as well as transactions with the firm, its affiliates, or others.

Advisor may enter into contracts with outside third parties so that Advisor can assist its clients in servicing their accounts. In order to do this, Advisor will disclose personal information to companies that help Advisor process transactions for client accounts (for example, executing client trades through a broker/dealer). However, Advisor does not share or disclose any non-public customer information except as allowed or required by law. In addition to sharing information in order to provide financial services to clients, Advisor may be required to disclose personal information to cooperate with regulators or law enforcement authorities, to resolve customer disputes, or for risk control.

Information Safeguarding

Advisor has implemented strict policies and procedures aimed at protecting the sensitive nature of client information. Advisor restricts access to client information to only those members of Advisor that must provide products and services to clients in order to service client accounts. Advisor has implemented physical, electronic, and procedural safeguards aimed at meeting Advisor’s duty to protect non-public client information. Read more here on: LPL Financial has systems in place to safeguard your information.

If clients have any questions concerning Ulin & Co. Wealth Management’s customer privacy policy or concerns about their personal information please feel free to contact our OSJ managing branch, Independent Financial Partners, at (813) 341-0960 main contact number located on our Form ADV Part II cover page.