ALPHA OMEGA WEALTH MANAGEMENT, LLC
PRIVACY NOTICE
 

Alpha Omega Wealth Management, LLC (“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. 

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It is the policy of Alpha Omega to restrict access to and/or the sharing of all current and former clients’ information (i.e., information and records pertaining to personal background [including social security number and address], investment objectives, financial situation, financial planning issues, tax information/returns, investment holdings, account numbers, account balances, etc.) to those employees and affiliated/nonaffiliated entities who need to know that information in furtherance of the client’s engagement of Alpha Omega. 

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Alpha Omega shall disclose, as necessary, the client’s information: (1) to unaffiliated service providers and vendors  in furtherance of establishing, maintaining, and reporting on the client’s Alpha Omega relationship (i.e., broker-dealer, account custodian, record keeper, technology, performance reporting, customer relationship  management software [CRM], proxy voting, insurance, independent managers, sub-advisers, etc.); (2) required to do so by judicial or regulatory process; or (3) otherwise permitted to do so in accordance with applicable federal and/or state privacy regulations.

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However, Alpha Omega does not, and shall not, disclose or share information with any affiliated or nonaffiliated persons, entities or service providers for marketing or any other purposes or reasons not referenced above.

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ANY QUESTIONS OR CONCERNS: Should you have any questions regarding the above, please contact LeAnn Mitchell, Chief Compliance Officer.

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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.