As a registered investment advisor, PLC Wealth Management, LLC and its investment adviser representatives will gather and develop personal information regarding my clients. This information will be gathered and developed by us for the following purposes:
- To determine the client’s financial goals and objectives
- To determine the level of advisory services needed and desired by the client
- To provide the client with specific recommendations regarding advisory services
- To provide the client with specific recommendations regarding financial products
- To provide ongoing support and recommendations regarding financial products held in the client’s account
Client information that PLC Wealth Management, LLC will collect may include, but not be limited to the following:
- Information received from clients on financial inventories through consultations with its representatives. This information may include personal and household information such as income, spending habits, investment objectives, financial goals, statements of account and other records concerning the clients’ financial conditions and assets, together with information concerning employee benefits and retirement plan interests, wills, trusts, mortgages and tax returns.
- Information developed as part of financial plans, analyses or investment advisory services.
- Information concerning investment advisory account transactions, such as wrap account transactions.
- Information about clients’ financial products and services transactions with PLC Wealth Management , LLC
- By hand delivering a copy to the client
- Mailing a copy to the client’s address on record