Privacy Policy

updated January 12, 2015

How and Why We Obtain Personal Information

Oakwood Group uses your personal information to facilitate account openings, deliver financial planning services; process transactions in your account; respond to inquiries from you or your representative; or to fulfill legal and regulatory requirements. We may collect public and non-public personal information about you from any of the following sources:

  • Applications or forms (for example, name, address, Social Security number, birth date, assets and income)
  • Transactional activity in your account (for example, trading history and balances)
  • Other interactions with Fidelity or other account custodians
  • Your preferences (for example, paper statements vs. electronic statements)
  • Other sources with your consent or with the consent of your representative (for example, from other institutions if you transfer positions to our management)

How We Protect Your Information

We have always considered the protection of sensitive information to be a foundation of customer trust and a sound business practice. We employ extensive physical, electronic and procedural controls in keeping with industry standards and practices, and we regularly adapt these controls to respond to changing requirements and advances in technology.

Within our company and among our service providers, we restrict access to personal information to those who require it to provide products and services to you. We may share the personal information that we collect with the following entities:

  • Affiliated service providers (for example, accountant, attorney, Fidelity or other custodians) with prior written or verbal permission from our clients
  • Government agencies, other regulatory bodies and law enforcement officials (for example, Internal Revenue Service or state Department of Revenues)
  • Other organizations, with your consent or as directed by your representative, or as permitted by law

Privacy Online

Privacy and security in our online operations are just as critical as in the rest of our business. We therefore employ all of the safeguards described above, along with the following Internet-specific practices.

We make extensive use of firewall barriers and virus protection software to secure office computers and we restrict access to programs by assigning PINs
Fidelity’s online access is protected by a client chosen PIN as are client accounts at other custodians.