Privacy Policy

Your relationship with Klein Pavlis & Peasley is based on trust and confidence. To fulfill its responsibilities to you, KPP requires that you provide current and accurate financial and personal information. You deserve to expect that KPP will protect·the information you have provided in a manner that is safe, secure, and professional. KPP and its employees are committed to protecting your privacy and to safeguarding that information.

Safeguarding Customer Documents

We collect non-public customer data in account applications, in written notations, subscriptions, reservations, and in documentation provided to us by our customers for evaluation or related consulting services. We also create internal lists of such data.

During regular business hours, access to customer records is monitored so that only those with approval may access the files. During hours in which the company is not in operation, the customer records will be locked.

No individual who is not so aµthorized shall obtain or seek to obtain personal and financial customer information. No individual with authorization to access personal and financial customer information shall share that information in any manner without the specific consent of a firm principal. Failure to observe KPP procedures regarding customer and consumer privacy will result in discipline and may lead to termination.

Sharing Nonpublic Personal and Financial Information

KPP is committed to the protection and privacy of its customers' and consumers' personal and financial information. KPP will not share such information with any affiliated or nonaffiliated third party except:

When necessary to complete a transaction in a customer account, such as with the clearing finn or accountcustodians;
When required to maintain or service a customer account;
To resolve customer disputes or inquiries;
With persons acting in a fiduciary or representative capacity on behalf of the customer;
With rating agencies, persons assessing compliance with industry standards, or to the attorneys, accountants and auditors of the firm;
In connection with a sale or merger ofKPP's business;
To protect against or prevent actual or potential fraud, identity theft, unauthorized transactions, claims.or other liability;
To comply with federal, state or locaIIaws, rules and other applicable legal requirements;
In connection with a written agreement to provide investment management or advisory services when the information is released for the sole purpose of providing the products or services covered by the agreement;
In any circumstances with the customer's instruction or consent; or
Pursuant to any other exceptions enumerated in the California Information Privacy Act.

Opt-Out Provisions

It is not a policy of KPP to share nonpublic personal and financial information with affiliated or unaffiliated third parties except under the circumstances noted above. Since sharing under the circumstances noted above is necessary to service customer accounts or is mandated by law, there are no allowances made for clients to opt out.

Disclaimer: KPP Financial provides a tool to their clients so they can easily review their investments in one secure site. We take your privacy seriously and this platform has implemented strong security measures and data centers with multiple layers of protection in place. Information on this is read-only and follows relevant federal and state privacy protections.