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Our privacy policy
CapWest Securities, Inc. (CapWest) considers the privacy of its investors to be of fundamental importance and has
established a policy to maintain the confidentiality of the information you share with us.
Personal information we collect
We do not sell information to any third parties. However, we may collect and retain certain nonpublic
personal information about you, including:
information we receive from you on applications or other forms, an
address we receive from a third party when you have moved;
information we receive from a consumer reporting agency;
information about your transactions with us, our affiliates, or others,
such as account balance and transaction activity, about your investment
transactions (including, to the extent necessary, for our servicing your
account(s) with us, your investments with third parties).
Personal information we may disclose
We occasionally disclose nonpublic personal information about you to affiliates and non-affiliates as permitted by law. Some
instances when we may share information include:
information to a third party in order to process account transactions
that you request or authorize;
your name and address to companies that mail fund-related materials,
such as shareholder reports, or to companies which help us service your
account(s) (note that these companies may not use the information for any
other purpose);
information in connection with legal proceedings or as permitted or
required by law, such as responding to a subpoena.
Please keep the following in mind:
We collect only the customer information necessary to consistently
deliver products and services to help serve your financial needs; to
provide a high standard of customer service and fulfill legal and
regulatory requirements. The information collected generally varies
depending on the products or services you request.
When information is shared with third parties, they are not
permitted to use the information for any purpose other than to
assist our servicing of your account(s) or as permitted/required
by law.
If you close your account(s) or if we lose contact with you, we
will continue to share information in accordance with our current
privacy policy and practices.
We restrict access to your nonpublic personal information to
authorized employees. We maintain physical, electronic and
procedural safeguards that comply with federal standards to guard
your nonpublic personal information.
It is the policy of the company to not directly or indirectly
share nonpublic personal information about a customer with a
non-affiliated third party except where permitted by law or to
assist in our servicing of your financial needs.
These measures reflect our commitment to maintaining the privacy of your confidential information. We appreciate the confidence you have
shown by entrusting us with your assets.
We uphold these privacy principles throughout CapWest and with our business partners. Companies with which we share customer
information are required to maintain the confidentiality of that information.
We will reaffirm this policy annually in writing, as long as you maintain an ongoing relationship with CapWest. This policy may
change from time to time.
In this notice of our Privacy Statement, the words "you" and "customer" are used to mean any individual or business who obtains or has
obtained a financial product or service from CapWest.
For more information
For information, please contact your CapWest representative. You may also call us at 866-448-5381 between
9:30 a.m. and 7 p.m. EST, Monday - Friday. Customers have the right to opt out of the disclosure of nonpublic personal information to
nonaffiliated third parties by contacting CapWest in writing at 3900 S Wadsworth Blvd. Suite 590, Lakewood CO 80235.
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Disclaimer: At certain places on this website, live "links" to other internet addresses can be accessed. Such external
internet addresses contain information created, published, maintained, or otherwise posted by institutions, organizations
or individuals independent of CapWest Securities, Inc. CapWest Securities, Inc. does not endorse, approve, certify, or
control these external internet addresses and does not guarantee or assume responsibility for the accuracy, completeness,
efficacy, timeliness, or correct sequencing of information located at such addresses. Use of any information obtained from
such addresses is voluntary, and reliance on it should only be undertaken after an independent review of its accuracy,
completeness, efficacy, and timeliness. Reference therein to any specific commercial product, process, or service by
trade name, service mark, manufacturer, or otherwise does not constitute or imply endorsement, recommendation, or
favoring by CapWest Securities, Inc. All information was obtained from sources believed to be reliable, but is not
guaranteed and is subject to change without notice.
No part of this site may be reproduced or transmitted in any form by any means (electronic, photocopy, recording, or otherwise)
without the written permission of CapWest Securities, Inc., Lakewood, Colorado. CapWest Securities, Inc. is securities licensed to
transact business in all 50 states. This website is not intended as a solicitation of business.
Copyright
CapWest Securities, Inc. All rights reserved.
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