Privacy Pledge to Our Clients
The relationship between Mills Wealth Advisors, LLC and our clients is the most important asset of our firm. We are 100% committed to protecting our clients’ personal information to the best of our ability. We believe that all of our clients value their privacy, so we will not disclose your personal information to anyone unless it is allowed by law, is at your direction, or is necessary to provide you with our services. This statement describes how we protect the confidentiality of the personal information you share with us, the types of information we collect, and how we use it.
Client Information
The information we collect is limited to that which is useful or needed to conduct our business and to provide our services to you; to protect and administer your records, accounts and funds; to comply with regulatory laws and regulations; to help us design or improve our services and to understand your financial needs so we can provide you with the level of service you deserve. Information comes from the following sources:
- Information we collect on our client questionnaire;
- Information we receive from you to open an account or provide investment advice to you (such as your home address, telephone number, and financial information);
- Information we generate to service your account (such as tax information, trade tickets and account statements); and
- Information that we may receive from third parties with respect to your account (such as trade confirmations from brokerage firms).
Information We Share
Mills Wealth Advisors, LLC wants you to rest assured that we do not sell customer information or customer lists to third parties. We do not share information about our customers or former customers other than as described herein.
Sharing Information With Companies That Work With Us
In order to conduct company business, and to offer products or services that you acquire through our firm or that may complement your relationship with us, we may share some or all of the information we collect, as described above, with companies or affiliates that perform services for us on your behalf, such as vendors we hire to assist us with billing, client reporting, the preparation of account statements for our clients or to provide support for one or more of our products and services; technology consultants who assist us in maintaining our computer systems; or your brokers and custodians to whom we provide account information.
We may also include periodic account statements for accounts with a common portal login or combined online access for accounts that are householded. This term refers to family combined accounts and other related accounts often with the same mailing address. Non-householding is an option our clients can elect and will only be done as requested or consented to by the accountholders.
Sharing Information In Other Situations
We may share some or all of the information we collect, as described above, or as otherwise authorized or required under applicable law. This may include, as an example, disclosures to process and service your requested or authorized transactions; disclosures in connection with subpoenas, legal processes, or other investigations or procedures; disclosures in connection with audits and examinations; and disclosures pursuant to your authorization or consent.
Protecting Information About You
Within our firm, we restrict access to information about you to those employees who need to know that information as part of their job responsibilities. We also inform our employees about the importance of confidentiality and client privacy. In addition, we maintain physical, electronic, and procedural safeguards to protect your information. Our privacy policy regarding the collection, use and disclosure of information about former clients is the same as our policy for existing customers.
Regulation S-P Procedures
Information Security and Incident Response. We maintain written policies and procedures designed to protect the security and confidentiality of nonpublic personal information. Our program includes measures to:
- Identify and assess risks of unauthorized access or use.
- Implement and monitor safeguards appropriate to our business model.
- Detect, respond to, and recover from security incidents affecting customer information.
If we determine that nonpublic personal information has been, or is reasonably likely to have been, accessed or used without authorization, we will notify affected individuals as soon as practicable, and no later than 30 days after that determination, except where a delay is requested by law enforcement.
Service Provider Oversight. We require third-party service providers with access to nonpublic personal information to:
- Maintain appropriate protection.
- Notify us promptly of any unauthorized access or use.
- Cooperate in incident response and mitigation efforts.
Scope of Individuals Covered. These protections apply to current and former clients, as well as to individuals who provide information to us in connection with a potential advisory or brokerage relationship, even if no account is opened or a contract is not signed.
Privacy Notice Delivery under Regulation S-P. We will provide initial privacy notices consistent with Regulation S-P. Consumers will receive notice before any non-public personal information is shared with third parties, and customers will receive notice before a customer relationship is established. If a relationship is initiated by telephone and providing notice beforehand would materially delay a transaction, the notice may be included in the Customer Agreement Form, provided you consent. Annual privacy notices will be provided to all active customer accounts when material changes to the privacy policy occur.
Keeping Up to Date With Our Privacy Pledge
Our privacy policy is subject to change from time to time. You can always request a copy of our current Privacy Statement by contacting us at our offices or visit our website at www.millswealthadvisors.com. If you have questions about this statement, please call us at (817) 416-7300, email us at info@millswealthadvisors.com or write us at 1207 S. White Chapel Blvd, Suite 150, Southlake, TX 76092.
Miscellaneous Information
Our Privacy Policy applies to individuals who obtain or have obtained from us a financial service used primarily for personal or family account purposes. The laws of some states may impose separate requirements regarding particular types of information about clients and disclosure for those respective states.