What does Lake Partners, Inc. (“LPI”) do with your personal information?

Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.

What information?

The types of personal information we collect and share depend on the product or service you have with us. This information can include:

  • Social security number
  • Income
  • Assets
  • Risk tolerance
  • Transaction history

How do we share your information?

All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers’ personal information; the reasons LPI chooses to share; and whether you can limit this sharing.

Reasons Does LPI share? Can you limit this sharing?
For our everyday business purposes – such as to process your transactions, maintain your account(s), or respond to court orders and legal investigations Yes No
For our marketing purposes – to offer our products and services to you No We don’t share
For joint marketing with other financial companies No We don’t share
For our affiliates’ everyday business purposes – information about your transactions and experiences No We don’t share
For our affiliates’ everyday business purposes – information about your creditworthiness No We don’t share
For nonaffiliates to market to you No We don’t share

To limit our sharing

Call Maurice A. Cabral at 203-661-5100. Please note: If you are a new customer, we can begin sharing your information 30 days from the date we sent this notice. When you are no longer our customer, we continue to share your information as described in this notice. However, you can contact us at any time to limit our sharing.

How does LPI protect my personal information?

To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.

How does LPI collect my personal information?

We collect your personal information, for example, when you:

  • Enter into an investment advisory contract
  • Seek financial advice
  • Make deposits or withdrawals from your account
  • Tell us about your investment or retirement portfolio
  • Give us your employment history

Why can’t I limit all sharing?

Federal law gives you the right to limit only:

  • Sharing for affiliates’ everyday business purposes – information about your creditworthiness
  • Affiliates from using your information to market to you
  • Sharing for nonaffiliates to market to you

State laws and individual companies may give you additional rights to limit sharing.

Definitions

Affiliates: Companies related by common ownership or control. They can be financial and nonfinancial companies. (LPI has no affiliates.)

Nonaffiliates: Companies not related by common ownership or control. They can be financial and nonfinancial companies. (LPI does not share with nonaffiliates so they can market to you.)

Joint Marketing: A formal agreement between nonaffiliated financial companies that together market financial products or services to you. (LPI does not jointly market.)