TRINITY FINANCIAL ADVISORS, INC.

 

PRIVACY POLICY

 

A Guide To How We Use And

Protect Client Information

 

Your personal and financial data is private information. Whether you are an existing

customer or considering a relationship with us, protecting your privacy is our priority.

In compliance with new privacy regulations, Trinity Financial Advisors, Inc. (“TFA”) is

required to provide you an initial and annual notice informing you of your rights as a

customer/consumer and our obligations as it relates to federal privacy laws enacted

under Regulation S-P to protect information you provide to us.

 

INFORMATION TFA COLLECTS

 

This personal information, not available publicly, may come from the following sources

of information that you may have provided us:

 

· Name and Address,

· Social Security Number and/or Taxpayer Identification Number,

· Assets,

· Income,

· Account Balance(s),

· Investment Activity, and

· Accounts at Other Institutions.

 

WHY TFA COLLECTS PRIVATE INFORMATION

 

In order to provide you with the best financial services and products available, we need

to evaluate your information for any strengths or weaknesses. Our decisions regarding

financial products and decisions must be based on sound judgments made from all the

information you may have provided us. It also helps us service your accounts and

administer our business.

 

For example, we use information about you to:

· Respond more accurately and efficiently to your requests.

 

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· Identify opportunities to give you more convenience and control by developing

products and services that may meet your objectives and benefit you.

· Secure your accounts and help protect you and TFA from fraud.

 

TFA SAFEGUARDS PERSONAL INFORMATION YOU PROVIDE

 

You may rely on us to protect the personal and private information you have entrusted

to us. Every precaution, in accordance with federal laws and regulations is used to limit

access to personal information about you to those employees who need to know to

assist us in providing products and services to meet your needs. TFA maintains

internal physical, electronic and procedural safeguards to protect personal information

about you. Some of the steps we take to safeguard information you provide us include

the following:

 

· Information is provided only to those who have a legitimate reason to know.

Employees of our office are required to adhere to company policies and procedures

protecting customers’/consumers’ information.

· From time to time, we may disclose your information to affiliated offices in order to

determine which products or services are best suited to your needs. Employees of

such affiliated offices are required to follow our company’s policies and procedures

in safeguarding your privacy.

· We may also provide information to nonaffiliated companies such as an insurance

company to assist us in providing beneficial products or services to you. In such a

situation, we will provide only the information necessary for that assigned purpose

to the nonaffiliated company. Similar to our employees and those of our affiliated

offices, we will require any non-affiliated office to follow company policies and

procedures as well.

· In order to verify particular information, we may contact third parties such as third

party administrators, insurance companies or physicians, etc]. We only contact the

appropriate third party for verification. For instance, we would not ask for medical

information when deciding the issuance of annuities of group pension products.

· In accordance with any state or federal laws, we may be required to release

information in certain circumstances (i.e. protection against fraud).

 

Our company will maintain strict physical, electronic, and procedural measures to

protect your information.

 

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By law, we are required to notify you of our privacy policy on an annual basis.

Although we reserve the right to change our privacy policy, we will tell you of the

changes promptly.

 

Importantly, we want to assure you that we will not sell client information to anyone.

Your rights as our customer/consumer are a priority to us.

 

TFA’S SHARING OF INFORMATION

 

To protect you privacy, we limit the information we share both within and outside

TFA. We conduct our business with great respect for the confidential nature of the

information being provided. We will not share information about you, unless

authorized by you, except as outlined below.

 

SHARING INFORMATION WITHIN TFA

 

The sharing of information within TFA allows us to provide you with complete and

superior service. We may share within TFA the information described above in the

section captioned "Information TFA Collects." This includes information about your

transactions or experiences with us, information you supply on your account

applications, and information we receive form third parties.

 

You have the right to instruct us not to share among affiliated financial service

companies certain information (other than information about our transactions and

experiences with you) from your account applications or information we receive from

third parties. If you do not want us to share this information about you, please mark

below:

 

__ I do not want TFA to share my information.

____Initial

____Date

 

Your request not to share this information will apply to all of your accounts with

us, including any new account you open after your original request.

 

TFA SHARES INFORMATION WITH COMPANIES WHO HELP IT

PROVIDE YOU SERVICES

 

TFA may share the information described under the section "Information TFA

 

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Collects" with companies external to TFA to complete a transaction you have

requested or to help us service your account. We may also share information with other

financial institutions with which we have a joint marketing agreement. We are highly

selective in choosing these companies. All companies with whom we do business are

contractually obligated to comply with strict standards regarding security and

confidentiality, and the information can be used only for the sole purpose of providing

the service we have requested of the company to perform.

 

Examples of the type of outside companies with which we may share information

include:

 

· Non-financial companies that perform services for us such as data processing and

companies that perform marketing services on our behalf.

· Financial service providers, including broker-dealers and clearing firms.

 

SHARING INFORMATION IN OTHER SITUATIONS

 

TFA may share the information described under the section captioned "Information

TFA Collects" when we are permitted or required by law. Examples include responding

to a subpoena, conducting a fraud investigation, or reporting to a credit bureau. We

may also share this information when authorized by you.

 

AN ONGOING COMMITMENT TO YOUR PRIVACY

 

We are just as committed to protecting the privacy of our former customers as we are

our current customers. If you choose to close your account or become an inactive

customer, you will continue to be protected by the privacy policies and principles

described in this policy.

 

THANK YOU

 

At TFA your business is important to us, and we promise to do our best to safeguard

your financial assets and personal and financial information about you. If at any time

we can help you further, please call us at (312) 245-1300.

 

For more information, please contact John Wimbiscus at the telephone number above.