UVEST Privacy Policy

Protecting the privacy of our clients and their personal account information is held in the highest priority at UVEST Financial Services.  As a result, under no circumstances will UVEST sell, share or otherwise provide your personal information to any non-affiliated third party entity.

In order to maintain and service customer accounts, UVEST will gather and store information about our account holders.  This information, collected via our new account application and other account documentation, is critical to open and administer your account.  In addition to this collected information, transactions facilitated by you through UVEST will be kept for reporting purposes and pursuant to our regulatory requirements.  To provide superior service to our clients, it is necessary for UVEST to share information with third parties currently involved in a contractual relationship with us (such as your referring financial institution).  This sharing of personal information is carried out on a strictly professional basis and is incidental to servicing your account.  We have received assurances from these third parties that they will not share your personal information.

Through the normal course of servicing your account, certain agents and employees may have access to your confidential account information.  This may include operations and support personnel, as well as your investment professional.  Access to this information is limited and held in the strictest confidence.

Information about former customers who do not currently maintain an account relationship with UVEST is not shared with any outside party.

Due to the partnerships that UVEST has with financial institutions to offer investment services, sharing of information with these financial institutions is critical to servicing your account.  Allowing this sharing process to continue uninterrupted will allow you to take full advantage of the value offered by the relationship between your financial institution and UVEST Financial Services.

UVEST does offer customers the option to limit the sharing of information between UVEST and your referring financial institution.  If you would like to request that your information not be shared with your referring financial institution or if you would like more information about UVEST's Privacy Policy, please notify us in writing to UVEST Financial Services, Attn: Compliance/Privacy Policy, 128 S. Tryon St., Suite 1340, Charlotte, NC 28202.

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