Rev 11/20

FACT  WHAT DOES SUMMIT DO WITH YOUR PERSONAL INFORMATION?

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. Please read this notice carefully to
understand what we do.
What? 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 and employment information
assets and income
investment experience and risk tolerance
How? All financial companies need to share customers’ personal information to run their everyday
business. In the section below, we list the reasons financial companies can share their
customers’
personal information; the reasons
Summit chooses to share; and whether you can limit this
sharing.

 

Reasons we can share your personal information Does Summit share? Can you limit this sharing?
For our everyday business purposes—
such as to process your transactions, maintain
your account(s), respond to court orders and legal
investigations, or report to credit bureaus or as
required by law.
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 don’t 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 don’t share
For our affiliates to market to you No We don’t share
For non-affiliates to market to you Yes* Yes
*If your Wealth Manager terminates his or her
relationship with us, we may allow your Wealth
Manager to take your personal information with him
or her and disclose it to any new firm he or she joins.
We may also directly disclose your personal information
to any new firm your Wealth Manager joins. You may
limit any of this information sharing by returning the
completed Privacy Choice Notice Form attached.
Questions? Call 973-285-4735 or go to summitfinancial.com

 

Who we are  
Who is providing this notice? Summit Financial, LLC
What we do  
How does Summit 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 Summit collect my personal
information?
We collect your personal information, for example, when you
open an account or enter into an investment advisory contract
seek advice about investments or direct us to buy securities
give us your contact information
We also collect your personal information from others, such as
affiliates, or other companies.
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 credit worthiness
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. See below for more on your rights under state law.
What happens when I limit sharing for
an account I hold jointly with someone
else?
Your choices will apply to everyone on your account.
Definitions  
Affiliates Companies related by common ownership or control. They can be
financial and nonfinancial companies.
Our affiliates include Summit Risk Management, LLC
Non-affiliates Companies not related by common ownership or control. They can be
financial and nonfinancial companies.
Summit may share information with non-affiliates including a Wealth
Manager who has left Summit or a Wealth Manager
s new brokerage
or investment advisory firm.
Joint marketing A formal agreement between nonaffiliated financial companies that
together market financial products or services to you.
Summit does not jointly market.

 

Other important information

Do Not Call Policy. This notice is the Summit Do Not Call Policy under the Telephone Consumer Protection Act. We do not solicit via telephone numbers listed on the state or federal Do Not Call lists, unless the law allows. Summit employees receive training on how to document and process telephone marketing choices. No telemarketing calls will be made to residential or cellular phone numbers that appear on Summit's Do Not Call list.


Affirmative Consent. In response to applicable state law, if the mailing address provided for your account is in a state that requires affirmative consent, including but not limited to California, North Dakota and Vermont, we will automatically treat your account as if you do not want us to disclose your personal information to non-affiliated third parties for purposes of them marketing to you, unless we receive your affirmative consent to do so.

 

Mail-In Form

Privacy Choice Notice

If you would like to limit the personal information that your Wealth Manager is permitted to disclose or take if he or she terminates his/her relationship with all Summit entities, please check the box below.
Do not share my personal information with nonaffiliates to market their products and services to me.


You can withdraw your opt-out choice at any time by contacting us in writing at the address provided below.


If your primary address is in a state that requires your affirmative consent to share your personal information with a non-affiliated firm, you will be requested to give affirmative consent before your Wealth Manager takes or shares your information with the new firm.

By checking the box above and completing and returning this form as described, I am instructing Summit Financial,
LLC to limit the personal information about me that my Wealth Manager can disclose or take if he or she terminates
the relationship with Summit and moves to another brokerage or investment advisory firm.

Please note that for accounts held jointly by two or more persons, the privacy choice to opt-out made by any account holder applies to all joint holders with respect to the account. This form will apply to all of your accounts unless you notify the firm differently.


Please complete the following information:

Name (please print clearly) ______________________________________________________________________
Address _____________________________________________________________________________________
City ________________________________ State/Zip __________________ Phone Number _________________
Name of Summit Wealth Manager ________________________________________________________________
Signature _____________________________________________________ Date __________________________

 

 

Once you have completed this form, please mail to:


Opt-Out Options
Summit Financial, LLC
4 Campus Drive
Parsippany, NJ 07054