DISCLOSURE &

PRIVACY POLICY

There are no warranties implied.

Investment advisory services are offered through Cast Financial LLC (“Cast Financial”), a registered investment advisor located in Nebraska. Cast Financial is registered in NE & SC.  Cast Financial may only transact business in those states in which it’s registered or qualifies for an exception or exclusion from registration requirements.

Cast Financial's web site is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of Cast Financial's website on the Internet should not be construed by any consumer and/or prospective client as Cast Financial's solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet. Any subsequent, direct communication by Cast Financial with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to the registration status of Cast Financial please contact the state securities regulators for those states in which Cast Financial maintains a registration filing. A copy of Cast Financial’s current written disclosure statement discussing Cast Financial’s business operations, services, and fees is available at the SEC’s investment adviser public information website (www.adviserinfo.sec.gov) or from Cast Financial upon written request. Cast Financial does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to Cast Financial’s website or incorporated herein, and takes no responsibility therefor. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.

This website and information are provided for guidance and information purposes only.  Investments involve risk and unless otherwise stated, are not guaranteed.  Be sure to first consult with a qualified financial adviser and/or tax professional before implementing any strategy.  This website and information are not intended to provide investment, tax, or legal advice.

Privacy Notice

 

We recognize the importance of protecting our clients’ privacy. We have policies to maintain the confidentiality and security of your nonpublic personal information.  The following is designed to help you understand what information we collect from you and how we use that information to serve your account.

 

Categories of Information We May Collect

 

In the normal course of business, we may collect the following types of information:

 

  • Information you provide in the subscription documents and other forms (including name, address, social security number, date of birth, income and other financial-related information); and
     

  • Data about your transactions with us (such as the types of investments you have made and your account status).

 

How We Use Your Information That We Collect

 

Any and all nonpublic personal information that we receive with respect to our clients who are natural persons is not shared with nonaffiliated third parties which are not service providers to us without prior notice to, and consent of, such clients, unless otherwise required by law.  In the normal course of business, we may disclose the kinds of nonpublic personal information listed above to nonaffiliated third party service providers involved in servicing and administering products and services on our behalf. Our service providers include, but are not limited to, our administrator, our auditors and our legal advisor.  Additionally, we may disclose such nonpublic personal information as required by law (such as to respond to a subpoena) or to satisfy a request from a regulator and/or to prevent fraud. Without limiting the foregoing, we may disclose nonpublic personal information about you to governmental entities and others in connection with meeting our obligations to prevent money laundering including, without limitation, the disclosure that may be required by the Uniting and Strengthening America Act by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism (USA PATRIOT) Act of 2001 and the regulations promulgated thereunder.  In addition, if we choose to dispose of our clients’ nonpublic personal information that we are not legally bound to maintain, then we will do so in a manner that reasonably protects such information from unauthorized access. The same privacy policy also applies to former clients who are natural persons.

 

Confidentiality and Security

 

We restrict access to nonpublic personal information about our clients to those employees and agents who need to know that information to provide products and services to our clients.  We maintain physical, electronic and procedural safeguards to protect our clients’ nonpublic personal information. We respect and value that you have entrusted us with your private financial information, and we will work diligently to maintain that trust.  We are committed to preserving that trust by respecting your privacy as provided herein.

 

If you have any questions regarding this privacy notice, please contact us.

Cast Financial LLC is registered in NE & SC.

© 2018 Cast Financial. Created by Spruce Bruce LLC