PRIVACY POLICY
Last Modified: 11-2021
Prime Capital Investment Advisors, LLC ‐ Privacy Notice
Prime Capital Investment Advisors, LLC’s (“PCIA”) primary client goal is to protect your privacy.
Collection of Information
We gather private and non‐public personal information about you in order to make products available to you through PCIA and to provide you with our services. The information we collect starts with the information you provide on applications and other forms and when you request services from us. We seek to collect and use only information that is necessary and appropriate for the needs of our business. We may collect information that relates to your investment needs and objectives, income, finances, employment, investments and other factors that properly relate to the products made available through PCIA and the services we are providing. We may search public records for relevant information about you. If you seek to purchase an insurance product or service through PCIA, we may also receive information about your health and other factors needed by the insurer for that purpose. Maintaining complete and accurate information on our customer’s records is important. If you become aware that we may have inaccurate information, please write or call us at:
Prime Capital Investment Advisors, LLC:
6201 College Blvd, Suite 150, Overland Park, KS 66211
Phone: 913‐491‐6226
Email: contact@pciawealth.com
Important Information for California Customers
In response to California law, Prime Capital Investment Advisors, LLC treats all accounts for clients who are residents of California as if the client does not want to disclose private or non‐public personal information to nonaffiliated third parties except as permitted by applicable California law. Clients who are residents of California are asked to complete a separate document titled, “Important Privacy Choices for Consumers”.
Disclosure Information
PCIA does not disclose private or non‐public personal information about our customers or former customers to anyone, except as required or permitted by law or as authorized by you in writing. We do not sell customer lists or any information about our customers. We may share information about you with companies and individuals who perform services on our behalf. Some examples would include the following:
- Sharing personal information with broker/dealer(s) for purposes of completing your requested transaction.
- Sharing information with our service providers who distribute legally required documents such as prospectuses, annual reports and proxy statements
- Sharing information with our service providers who perform audits/reviews of our firm and business practices.
If you are a resident of California, we will not share your private or non‐public personal information with non‐affiliated companies and individuals who perform services on our behalf if you notify us that you do not wish us to share this information with such non‐affiliated companies and individuals. A separate document titled “Important Privacy Choices for Consumers” is available with this Privacy Notice that provides additional information under California law.
Before disclosing information to those who provide services to us, we require them to agree to keep any private or non‐public personal information about our customers confidential and to use it only for the purposes we have authorized. Prime Capital Investment Advisors, LLC also limits the sharing of private or non‐public personal information for clients who are residents of California with our affiliates to comply with all California privacy laws that apply to Prime Capital Investment Advisors, LLC. We may disclose information about you in response to a subpoena or other legal process and to protect against fraud.
Protecting Confidentiality of Customer Records
PCIA will internally safeguard your non‐public personal information by restricting access to only those employees who (1) provide our services; (2) provide information about products available through PCIA; and/ or (3) need access to your information to service your account. In addition, we maintain physical, electronic and procedural safeguards that meet the federal and/or state standard to guard your non‐public personal information.
Do You Need to Do Anything?
You do not need to take any action in response to this notice of our Privacy Policies and Procedures. Because we do not share your private or non‐public personal information with nonaffiliated third parties other than as described above, you do not need to opt‐out or opt‐in. If, however, you want more information concerning our privacy policies and practices, please contact us at:
6201 College Blvd, Suite 150, Overland Park, KS 66211
Phone: 913‐491‐6226
Email: contact@pciawealth.com
Advisory services offered through Prime Capital Investment Advisors, LLC “PCIA”, a federally registered investment adviser. PCIA doing business as Prime Capital Wealth Management “PCWM” and Qualified Plan Advisors “QPA”. PCIA: 6201 College Blvd., Suite 150, Overland Park, KS 66211 | p: 913.491.6226 | f: 913.491.3214 | pciawealth.com
