Important Notice Regarding Client Privacy
Maintaining your trust and confidence is a high priority. That’s why we want you to understand how we protect your privacy when we collect and use information about you, and the steps that we take to safegaurd that information. This notice is provided to you on behalf of Investment Security Corporation and Heller Capital Resources.
Information We Collect. In connection with providing you with investment products, financial advice, or other services, we obtain nonpublic personal information about you, including:
- Information we receive from you on applications.
- Information about your transactions with us or others, including your financial adviser; and
- Information from credit or service bureaus or other third parties.
Information We Disclose. We will not disclose information regarding you or your account with us except under the following circumstances:
- To your financial adviser and his or her manager;
- To establish or maintain an account with an unaffiliated third party, such as clearing broker providing services to you and/or Investment Security Corporation.
- To government entities or other third parties in response to subpoenas or other legal process as required by law
Our Security Policy. Only those individuals who need it to perform their jobs are authorized to have access to confidential client information. We maintain physical, electronic, and procedural security measures that comply with the applicable state and federal regulations to safeguard confidential client information.
Closed or Inactive Accounts. If you decide to close your account(s) or become an inactive customer, we will adhere to the privacy policies and practices described in this notice.
Changes to this Privacy Policy. If we make any substantial changes in the way we use or disseminate confidential information, we will notify you.
Rule 204-3 under the Advisers Act, commonly referred as the “brochure rule”, requires an investment adviser, annually, and without charge, either to deliver a written disclosure statement to its existing advisory clients or to offer, in writing, to deliver the statement upon written request from the client. Heller Capital Resources (“HCR”) will provide a copy of our ADV Part II form to any clients on request. The form describes HCR’s services, fees, business practices and educational and business background.
