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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.
The types of personal information we collect and share depend on the product or service you have with us. This information can include:
When you are no longer a client, we continue to share your information as described in this notice.
All financial companies need to share customers’ personal information to run their everyday business. We list below the reasons financial companies can share their customers’ personal information; the reasons 49 Financial chooses to share; and whether you can limit this sharing.
| Everyday Business Purposes | The actions necessary by financial companies to run their business and manage customer accounts, such as providing investment advisory and financial planning advice, processing securities transactions, and otherwise providing financial services to you. |
| Affiliates | Companies related by common ownership or control. They can be financial and nonfinancial companies. 49 Financial has the following affiliate entity(ies): 49 Management Company, LLC |
| Non-Affiliates | Companies not related by common ownership or control. They can be financial and nonfinancial companies. 49 Financial does not share information with non-affiliates for marketing purposes. |
| Joint Marketing | A formal agreement between nonaffiliated financial companies that together market financial products or services to you. 49 Financial does not engage in joint marketing with non-affiliates. |
| Reasons we can share you personal information | Does 49 Financial share? | Can you limit this sharing? |
|---|---|---|
| For our everyday business purposes—such as to provide advice, process your transactions, and maintain your account(s) | Yes | No |
| For our marketing purposes—to offer our products and services to you | Yes | No |
| For joint marketing with other financial companies | No | We do not share |
| For our affiliates’ everyday business purposes— information about your transactions and experiences | Yes | No |
| For our affiliates’ everyday business purposes— information about your creditworthiness | No | We do not share |
| For our affiliates to market to you | No | We do not share |
| For non-affiliates to market to you | No | We do not share |
| Contact Us | Call 49 Financial at 214-563-1190 | |
| Sharing Practices | |
|---|---|
| How often does 49 Financial notify me about their practices? | We must notify you about our sharing practices when you become a client or if we change our information sharing policies and procedures |
| How does 49 Financial 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 49 Financial collect my personal information? | We collect your personal information, for example, when you: establish an investment advisory relationship, contract for financial planning services, open an account or deposit money with custodians, and purchase or sell securities with executing broker-dealers. We also collect your personal information from others, such as custodians, broker-dealers, or other companies. |
| Why can’t I limit all sharing? | Federal law gives you the right to limit sharing only for: affiliates’ everyday business purposes—information about your creditworthiness, affiliates to market to you, and non-affiliates to market to you. State laws and individual companies may give you additional rights to limit sharing. |
If you would like a copy of the 49 Financial Form ADV Part 2A and 2B, please send a written request to:
49 Financial
916 S. Capital of Texas Highway
Suite 2.100
Austin, TX 78746
If you wish to modify or impose reasonable restrictions concerning the management of your account, or if your financial situation, investment objectives, or risk tolerance have changed, please contact your 49 Financial investment advisor representative or contact Dan Wohlgemuth at 214-563-1190. We will contact you at least annually to determine if your investment goals, objectives, and risk tolerance have changed.
We urge that you advise us immediately if you have not received your custodian or brokerage statement, which is required to be delivered to you no less frequently than quarterly. In addition, please compare any account information provided by us with account statements from your broker-dealer or custodian and to advise us of any discrepancies. The official record of your account is maintained by your broker-dealer or custodian. Thank you.
SMS consent and phone number will not be shared with third parties.
Certain appropriately licensed individuals are registered to offer Investment Advisory Services through 49 Wealth Management, LLC (“49WM”), an SEC Registered Investment Adviser. 49WM does not provide tax or legal advice and is not a certified public accountant. Any decisions on whether to implement any ideas on this website should be made by the client in consultation with professional financial, tax, and legal counsel.
This site is published for residents of the United States only. Investment Advisor Representatives of 49WM may only conduct business with residents of the states and jurisdictions in which they are properly registered. Therefore, a response to a request for information may be delayed. Not all of the products and services referenced on this site are available in every state and through every representative or advisor listed. For additional information, please contact the 49WM Compliance Department at (512)241-7341.
These materials have been independently produced by 49 Financial. 49 Financial is independent of, and has no affiliation with, Charles Schwab & Co., Inc. or any of its affiliates (“Schwab”). Schwab is a registered broker-dealer and member SIPC. Schwab has not created, supplied, licensed, endorsed, or otherwise sanctioned these materials nor has Schwab independently verified any of the information in them. 49 Financial provides you with investment advice, while Schwab maintains custody of your assets in a brokerage account and will effect transactions for your account on our instruction.
SMS consent and phone number will not be shared with third parties.