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Simmons Investment Management LLC recognizes that our relationships with current and prospective clients are based on integrity and trust. We work hard to maintain your privacy and to preserve the private nature of our relationship with you. We place the highest value on the information you share with us. We want our clients to understand what information we collect, how we use it, and how we protect your personal information. We will provide this privacy policy to all clients annually.


Why We Collect Your Information

We gather information about you so that we can:

  • Help design and implement the investment and planning related services we provide you.

  • Comply with the Federal and State laws and regulations that govern us.


What Information We Collect and Maintain

We may collect the following types of “nonpublic personal information” about you:

  • Information from our initial meeting and subsequent consultations about your identity, such as your name, address, social security number, date of birth, and financial information.

  • Information that we generate to service your financial needs.

  • Information that we may receive from third parties with respect to your financial profile.


What Information We Disclose

We are permitted by law to disclose nonpublic information about you to unaffiliated third parties in certain circumstances. We may disclosure your nonpublic personal information to:

  • Unaffiliated Individuals and/or entities including, but not limited to, third-parties that assist in the supervision or management of your account(s) (i.e., sub-advisers, account custodian, record keeper, attorney, etc.)

  • Service providers contracted by us in order for us to perform the duties in furtherance of the client's engagement with us (i.e. client management systems, archiving technology vendors, cloud service providers, etc.)

Otherwise, we will not disclose any personal information about you or your account(s) unless one of the
following conditions is met:

  • We receive your prior written consent.

  • We have documentation that the recipient is your authorized representative.
  • We are required by law to disclose information to the recipient.


We will not sell your personal information.


How We Protect Your Personal Information

Privacy is very important to us. We restrict and limit access to client information only to those who need to carry out their business functions. We safeguard client information by preventing its unauthorized access, disclosure, or use. We maintain physical, electronic, and procedural safeguards to protect your confidential personal information. Even if we cease to provide you with financial services, our Privacy Policy will continue to apply to you, and we will continue to treat your nonpublic information with strict confidentiality.

Updated July 11, 2023

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