Spire Privacy Policy

In addition, we've outlined some frequently asked questions regarding this document.

SEE Spire Wealth Management ADV 2 and CRS for firm brochure ADV 2 with Spire Privacy Policy

FAQ

When do I need to send the privacy policy to a client?

• Only clients opening or linking RIA accounts to you as an IA of Spire Wealth Management. This includes the custodians Fidelity, Schwab, Pershing Advisor Solutions, or fee based accounts at NFS/Pershing DBS.
• All client relationships for a transitioning advisor.

Do I need to send the privacy policy annually to an existing client?

• No. Spire mails a copy of our Privacy Policy to all clients with RIA accounts. This mailing occurs throughout Q2 of every year. Make sure you are updating the client's mailing address in SPIRENet as we use that for our mailing!
• Just FYI: Spire sends the privacy policy inside Statements for all B/D business. Again this occurs in Q2 of every year. 

What is the Privacy Policy for?

• In compliance with SEC's Regulation S-P, Spire is required to provide and implement notice disclosing its policies and procedures regarding the sharing of non-public personal information. This information must be provided to only 'natural' persons, as institutional customers are exempt.
• All of Spire's specific rules and requirements for the safeguarding of customer information are outlined in Spire's Privacy Policy. It is important that you be aware of the requirements and our policies and procedures on such safeguarding to ensure that you are not violating any rule or internal policies or procedures concerning private, non-public information you have in your possession. It is important that you are aware of your responsibilities as a registered representative to ensure that Spire is in compliance with the SEC’s Regulation S-P. If you have any question concerning your role in this compliance effort, direct them to your Supervising Principal or to Compliance.