Privacy Policy
Notice of Privacy Practices
Last updated: May 2026
The purpose of this letter is to inform you of Finec Asset Management LLC ("FAM") Privacy Policy and to comply with Federal Laws, including Securities and Exchange Commission regulations. To protect your privacy FAM has adopted the privacy policy standing below, which explains the circumstances under which FAM may collect, maintain and use any non-public personally identifiable information you may provide us or which we accumulate in the course.
Why? 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. We are committed to protecting your privacy and maintaining your trust and confidence. Please read this notice carefully to understand how we treat your personal information.
What? We limit the information to the minimum required to help us serve your financial needs, deliver superior customer service, offer new products or services, and to fulfill regulatory and other legal requirements. The types of personal information we collect and share depend on the product or service you have with us. This information can include:
Social Security Number or Tax Identification Number; home and business address, phone number, and email address; assets, liabilities, income, expenses, and other financial information; transaction information such as account balances, portfolio holdings, account numbers, and trading activity; investment experience and goals.
When you are no longer our customer, we continue to share your information as described in this notice. We will disclose personal information about former customers only as permitted and/or required by law or legal process, or with your consent.
How? All financial companies need to share customers' personal information with financial service providers to run their everyday business. In the section below, we list the reasons financial companies can share their customers' personal information; the reasons Finec Asset Management LLC chooses to share; and whether you can limit this sharing.
Reasons We Can Share Your Personal Information
| Reasons we can share your personal information | Does FAM share? | Can you limit this sharing? |
|---|---|---|
| For our everyday business purposes — to provide agreed upon services to you, such as to process your transactions, maintain your account(s), respond to regulatory and/or legal investigations, or report to credit bureaus. | Yes | No |
| For our marketing purposes — to offer our products and services to you. | Yes | Yes |
| For joint marketing with other financial companies | No | We don't share |
| For our affiliates' everyday business purposes — information about your transactions and experiences. | No | We don't share |
| For non-affiliates to market to you | No | We don't share |
Who We Are
Finec Asset Management, LLC
402 West Broadway, Suite 400
San Diego, CA 92101
What We Do
How does Finec Asset Management LLC 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, access controls on our information systems, files and offices. Our associates are trained on their responsibilities to protect clients' personal information. We restrict access to personal information to those employees who need to know the information to provide to your products or services.
How does Finec Asset Management LLC collect my personal information?
We collect your personal information, for example, when you:
- Open an account with us
- Invest or deposit or withdraw money from your account
- Update your contact details
Why can't I limit all sharing?
Federal law gives you the right to limit only:
- Sharing for affiliates' everyday business purposes — information about your creditworthiness
- Affiliates from using your information to market to you
- Sharing for non-affiliates to market to you
State laws and individual companies may give you additional rights to limit sharing.
Definitions
Affiliates
Companies related by common ownership or control. They can be financial and non-financial companies.
Non-affiliates
Companies not related by common ownership or control. They can be financial and non-financial companies.
Joint Marketing
A formal agreement between non-affiliated financial companies that together market financial products or services to you.
Other Important Information
Our relationship with you is one of our most vital assets. We recognize that you have entrusted us with your private financial information, and we will do our utmost to maintain this trust. For as long as you maintain an ongoing relationship with us, we will send you a copy of our privacy policy on an annual basis. From time to time, we may amend our privacy policy. You will receive appropriate notice when our privacy policy changes.
Contact
For more information, please contact us at (858) 945-3192 or visit our web page www.finec.us.
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