Alpha Omega Wealth Management

7202 Glen Forest Drive, Suite 300
Richmond, VA 23226

Office 804.955.1600 Toll-Free 866.877.6561 Fax 804.955.1616

© 2014 Alpha Omega Wealth Management. All rights reserved.

 

 Legal | Privacy Policy | Form ADV Part 2A | Form ADV Part 2B

ALPHA OMEGA WEALTH MANAGEMENT, LLC
PRIVACY NOTICE

 

Alpha Omega Wealth Management, LLC (referred to as “Alpha Omega”) maintains physical, electronic, and procedural safeguards that comply with federal standards to protect its clients’ nonpublic personal information (“information”). Through this policy and its underlying procedures, Alpha Omega attempts to secure the confidentiality of customer records and information and protect against anticipated threats or hazards to the security or integrity of customer records and information.


It is the policy of Alpha Omega to restrict access to all current and former clients’ information (i.e., information and records pertaining to personal background, investment objectives, financial situation, tax information/returns, investment holdings, account numbers, account balances, etc.) to those employees and affiliated/nonaffiliated entities who need to know that information in order to provide products or services in furtherance of the client's engagement of Alpha Omega. In that regard, Alpha Omega may disclose the client’s information: (1) to individuals and/or entities not affiliated with Alpha Omega, including, but not limited to the client’s other professional advisors and/or certain service providers that may be recommended or engaged by Alpha Omega in furtherance of the client's engagement of Alpha Omega (i.e., attorney, accountant, insurance agent, broker-dealer, investment adviser, account custodian, record keeper, proxy management service provider, etc.); (2) required to do so by judicial or regulatory process; or (3) otherwise permitted to do so in accordance with the parameters of applicable federal and/or state privacy regulations. The disclosure of information contained in any document completed by the client for processing and/or transmittal by Alpha Omega to facilitate the commencement/continuation/termination of a business relationship between the client and/or between Alpha Omega and a nonaffiliated third party service provider (i.e., broker-dealer, investment adviser, account custodian, record keeper, insurance company, etc.), including, but not limited to, information contained in any document completed and/or executed by the client in furtherance of the client's engagement of Alpha Omega (i.e., advisory agreement, client information form, etc.), shall be deemed as having been automatically authorized by the client with respect to the corresponding nonaffiliated third party service provider.


Alpha Omega permits only authorized employees and affiliates who have signed a copy of Alpha Omega’s Privacy Policy to have access to client information. Employees violating Alpha Omega’s Privacy Policy will be subject to Alpha Omega’s disciplinary process. Additionally, whenever Alpha Omega hires other organizations to provide services to Alpha Omega’s clients, Alpha Omega will require them to sign confidentiality agreements and/or the Privacy Policy.


Should you have any questions regarding the above, please contact LeAnn Mitchell, Chief Compliance Officer.

Please remember to contact Alpha Omega Wealth Management, LLC, in writing, if there are any changes in your personal/financial situation or investment objectives for the purpose of reviewing/evaluating/revising our previous recommendations and/or services, or if you want to impose, add, to modify any reasonable restrictions to our investment advisory services, or if you wish to direct that Alpha Omega Wealth Management, LLC to effect any specific transactions for your account.