Allen, Mooney &Barnes Investment Advisors, LLC
Allen, Mooney & Barnes Brokerage Services, LLC
Privacy in financial transactions and relationships is an important issue. We recognize the importance of protecting personal information as central to our role as a fiduciary. We have developed policies, procedures and various electronic and legal safeguards to protect the confidentiality of information.
We collect nonpublic personal information from the various sources including information we receive from applications, account agreements or other forms; information about transactions with us, our affiliates or others; and information we may receive from attorneys, accountants and others in the normal course of our fiduciary duties.
We may share relevant information with our Clearing Firm, First Clearing Corporation, Inc. and other companies in the Wells Fargo family – that is, companies that are owned by Wells Fargo and with our affiliated company AMB Client. We share information only to the extent necessary to process transactions or otherwise service accounts with us. We may also be required to share information by federal and state regulatory agencies having jurisdiction over us.
Simply put, we do not disclose any nonpublic personal information about clients to anyone except as noted above. We follow the same policy with respect to nonpublic information received from all clients and former clients.
Allen, Mooney & Barnes Brokerage Services and Allen, Mooney & Barnes Investment Advisors have policies that restrict access to nonpublic personal information to those employees who have need for that information to provide investment alternatives or services, or to employees who assist those who provide investment alternatives or services. We maintain physical, electronic and procedural safeguards to protect nonpublic personal information.
Important Information about Procedures for Opening a New Account
To help the government fight the funding of terrorism and money laundering activities, Federal Law requires all financial institutions to obtain, verify and record information that identifies each person who opens an account.
What this means for you: When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver’s license or other identifying documents.
Please contact me at (229) 225-1500 or email Carla.Roach@AMBwealth.com if you have questions regarding our privacy policies or if you would like a copy of our Allen, Mooney & Barnes Investment Advisors ADV Part II.
Chief Compliance Officer