Privacy Policy Notice
Rev. May 2024
FACTS
WHAT DOES UPTICK PARTNERS, LLC
DO WITH YOUR FINANCIAL 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 depends on the product or
service you have with us. This information can include:
§ Social Security number and income
§ Account balances and assets
§ Investment experience and risk tolerance.
When you are no longer a client, we continue to share your information as described
in this notice.
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 Uptick Partners, LLC
chooses to share; and whether you can limit this sharing.
Reasons we can share your personal
information
Does Uptick Partners,
LLC 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
Yes
No
For our marketing purposes –
to offer our products and services to you
Yes
No
For joint marketing with other financial companies
No
Not Applicable
For our affiliates’ everyday business purposes –
information about your transactions and experiences
No
Not Applicable
For our affiliates’ everyday business purposes–
information about your creditworthiness
No
Not Applicable
For our affiliates to market to you
No
Not Applicable
For nonaffiliates to market to you
No
Not Applicable
To limit
our
sharing
Please note: By executing an Investment Advisory Agreement with Uptick
Partners, LLC, the Client agrees to “opt-in” to this privacy policy.
Questions?
Call (936) 800-0800 or go to www.uptickpartners.com
Privacy Policy Notice
Who We Are
Who is providing this notice?
Uptick Partners, LLC
What We Do
How does Uptick Partners, 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 and secured files
and building.
How does Uptick Partners, LLC collect my
personal information?
We collect your personal information, for example, when you:
• Open an account
• Deposit money
• Seek advice about your investments
• Enter into an investment advisory contract
• Tell us about your investment or retirement portfolio or
earnings
We also collect your personal information from 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 creditworthiness;
• Affiliates from using your information to market to you;
and
• Sharing for nonaffiliates to market to you.
State laws and individual companies may give you additional rights
to limit sharing.
What happens when I limit sharing or an
account I hold jointly with someone else?
Per the above, Uptick cannot manage your account if you limit
sharing with our every day business purpose.
Definitions
Affiliates
Companies related by common ownership and control.
They can be financial and nonfinancial companies.
• We do not share with our affiliates.
Non-Affiliates
Companies not related by common ownership and control. They
can be financial or nonfinancial companies.
• We do not share with nonaffiliates so that they can market
to you.
Joint Marketing
A formal agreement between nonaffiliated financial companies that
together market financial products or service to you.
• We do not jointly market.
Other important information
By signing and executing Uptick Planning’s Advisory Agreement, I acknowledge that I have fully read and
understand this Privacy Policy and opt-in as outlined above. I understand that if I have any questions or concerns
about this policy, it is my responsibility to discuss this with my financial professional.
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