Heller Wealth Advisors LLC respects your right to privacy, and you expect us to conduct your business in a professional manner. We have adopted policies and procedures in accordance with applicable law reasonably designed to safeguard your private information. This privacy notice sets forth our policies with respect to with respect to nonpublic personal information of our clients, prospective clients, and former clients.
You provide us with personal information, such as your address, social security number, date of birth, employment information, assets and/or income information in some or all of the following documents:
1. Brokerage agreements and related documents;
2. In correspondence and conversations with our employees;
3. Through transactions with us
We do not disclose any of this personal information about our clients or former clients to anyone, other than our custodian, Charles Schwab, outside managers that are employed for a specific investment allocation, internal and external auditors and regulatory authorities as required to by law and except as permitted by law. We will also release information about you if you direct us to do so, if we are compelled to do so by law, or in connection with a government request or investigation.
Please be aware that in order to comply with certain state and federal laws, any information you provide in connection with your account is subject to verification by Heller Wealth Advisors and/or any Third Party Vendor contracted by HWA solely for this purpose.
Anti Money Laundering Notice - To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify and record information that identifies each entity that opens an account. When you open an account, we will ask for your name, address, date of establishment and other information that will allow us to identify your entity. We may also request to see the authorized person’s driver’s license or other identification documents.
Customer Inquiries or Complaints – If you should have any questions or concerns regarding the handling of your account please feel free to contact Don Hertling at (973) 287-5433. You may also address written correspondence to us at 101 Eisenhower Parkway, Roseland NJ, 07068