SEC & Privacy Standards
This notice is being provided to you in accordance with the Securities and Exchange Commission’s rule regarding the privacy of consumer financial information (“Regulation S-P”). Please take the time to read and understand the privacy policies and procedures that we have implemented to safeguard your non- public personal information.1
INFORMATION WE COLLECT
Hollow Brook Wealth Management LLC (“Hollow Brook”) must collect certain personally identifiable financial information about its customers in order to provide financial services and products. Examples of the types of personally identifiable financial information Hollow Brook collects includes your social security number, date of birth, account balances, and transaction history. The personally identifiable financial information that we gather during the normal course of doing business with you may include:
- Information we receive from you in an advisory agreement or other documents a client may deliver to us;
- Information about your transactions with us, brokers, custodians, or others;
- Information we receive from discussions or other correspondence (written, telephonic or electronic); and
- Information Hollow Brook receives about a client from a client’s purchaser representative, financial advisor, investment consultant, or other financial institution with whom Hollow Brook has a relationship and/or whom the client may have authorized to provide such information.
INFORMATION WE DISCLOSE
We do not disclose any non-public personal information about our customers or former customers to anyone, except as permitted or required by law, or as necessary to provide services to you. In accordance with Sections 248.13 through 248.15 of Regulation S-P, we may disclose all of the information we collect, as described above, to certain non-affiliated third parties such as, but not limited to, attorneys, accountants, auditors, broker/dealers, custodians, and persons or entities that are assessing our compliance with industry standards. We enter into contractual agreements and/or ensure confidentiality provisions are in place with all non-affiliated third parties that prohibit such third parties from disclosing or using the information other than to carry out the purposes for which we disclose the information.
CONFIDENTIALITY AND SECURITY
We restrict access to non-public personal information about you to those employees who need to know such information in order to provide financial products or services to you. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your non-public personal information. If you are a former client, your information is treated in the same manner as the information of current clients.
1 Non-public personal information means personally identifiable financial information and any list, description, or other grouping of consumers that is derived using any personally identifiable financial information that is not publicly available.