DPH Financial LLC takes your privacy seriously.  We are committed to protecting your privacy and the confidentiality of your personal and financial information.  We place the highest value on the information you share with us.

As a provider of services that involve compiling personal, and sometimes sensitive, information, protecting the confidentiality of that information has been, and will continue to be, a top priority.  We believe you should be informed of the information we collect, the measures we take to safeguard that information, and the situation(s) in which we might share information with select business partners.  This policy explains how we handle and protect the personal information we collect.

The information we collect and the extent to which we use said information varies depending on the product or service involved.  In fact, in certain cases, we may not collect or share some of the types of information noted below.  Our privacy promise derives from basic principles of trust, ethics, and integrity:

 

We collect only the customer information necessary to consistently deliver responsive services.

 

DPH Financial collects information that helps serve your financial needs, provide high standards of customer service, develop and offer new services for our clients and potential clients, and fulfill legal and regulatory requirements.  The information collected generally varies depending on the services you request and may include:

• Information provided in personal interviews or on applications and related forms. For example: name, address, Social Security number, and annual income.
• Responses from your employer, benefits plan sponsor, or association regarding any group products we may provide. For example: name, age, address, and Social Security number.
• Third party reports, such as consumer credit history, motor-vehicle records, demographic, and/or medical information.
• Information about your relationships with us, such as services purchased and account balances (if applicable), may be obtained in writing during telephone or Internet transactions or from data gathering software used when you access our web site.

 

We maintain safeguards to ensure information security.

 

We have implemented security standards and processes, including physical, electronic and procedural safeguards, to ensure access to customer information is limited to employees, registered representatives, and agents who may need access to do their jobs.  They are required to respect the confidentiality of all customer information.  Some of the safeguards in place include:

• All documents with identifying personal information are shredded before disposal.
• We keep a written record of advisors, and employees who are issued keys to our office and passwords to our software programs. 
• We restrict and limit access to client information only to those who need to carry out their business functions.  We educate employees about safeguarding client information and preventing its unauthorized access, disclosure, or use.  Employees will be required to acknowledge their acceptance and understanding of our privacy policy in writing, annually.
• We maintain physical, electronic, and procedural safeguards to protect your confidential, personal information.

 

We limit how, and with whom, we share client information.

 

First and foremost, we do not sell client lists, nor do we disclose customer information to marketing companies, with the exception of companies we hire to provide specific services.  We will share customer information for the following reasons:

• When required by law or by regulation to disclose information to third parties. For example: in response to a subpoena, to prevent fraud, or to comply with rules of, or inquiries from, industry regulators.
• In some cases, we may share information we collect (e.g. share name, address, age and Social Security number with our broker-dealer, mutual fund, and insurance companies and agencies to process or service a transaction requested by our client) to facilitate enhanced client services, or to inform you of services you may find useful.  Those businesses may have privacy policy terms different from the terms stated in this policy.  If the policy differs and you are a client, you may receive a separate privacy notice from that business.
• The advisor or registered representative with whom you work to obtain financial products and services may use your personal information contained in his or her file(s) to advise you of other products or to help with your overall financial strategy.
• Furthermore, as permitted by Federal and state laws, we may share or exchange information with companies engaged to work with us, such as vendors hired to develop or maintain software or perform research.

 

We uphold these privacy principles with our business partners. Companies with which we share client information are required to maintain the confidentiality of your personal and financial information.  We will reaffirm this policy annually in writing, as long as you maintain an ongoing relationship with us.

 

 

 

 

 

 

 

DPH Financial LLC

11200 Broadway Street, Suite 2743

Pearland, TX  77584

(713) 893-3262