Privacy Notice
Dumont & Blake Investment Advisors LLC (referred to as “Dumont & Blake”),
maintains physical, electronic, and procedural safeguards that comply with
federal standards to protect its clients’ nonpublic personal information
(“information”). Through this policy and its underlying procedures, Dumont &
Blake attempts to secure the confidentiality of customer records and information
and protect against anticipated threats or hazards to the security or integrity
of customer records and information.
It is the policy of Dumont & Blake to restrict access to all current and former
clients’ information (i.e., information and records pertaining to personal
background, investment objectives, financial situation, tax information/returns,
investment holdings, account numbers, account balances, etc.) to those employees
and affiliated/nonaffiliated entities who need to know that information in order
to provide products or services to the client. Dumont & Blake may disclose the
client’s information if Dumont & Blake is: (1) previously authorized to disclose
the information to individuals and/or entities not affiliated with Dumont &
Blake, including, but not limited to the client’s other professional advisors
and/or service providers (i.e., attorney, accountant, insurance agent,
broker-dealer, investment adviser, account custodian, etc.); (2) required to do
so by judicial or regulatory process; or (3) otherwise permitted to do so in
accordance with the parameters of applicable federal and/or state privacy
regulations. The disclosure of information contained in any document completed
by the client for processing and/or transmittal by Dumont & Blake in order to
facilitate the commencement/continuation/termination of a business relationship
between the client and a nonaffiliated third party service provider (i.e.,
broker-dealer, investment adviser, account custodian, insurance company, etc.),
including information contained in any document completed and/or executed by the
client for Dumont & Blake (i.e., advisory agreement, client information form,
etc.), shall be deemed as having been automatically authorized by the client
with respect to the corresponding nonaffiliated third party service provider.
Dumont & Blake permits only authorized employees and affiliates who have signed
a copy of Dumont & Blake’s Privacy Policy to have access to client information.
Employees violating Dumont & Blake’s Privacy Policy will be subject to Dumont &
Blake’s disciplinary process. Additionally, whenever Dumont & Blake hires other
organizations to provide services to Dumont & Blake’s clients, Dumont & Blake
will require them to sign confidentiality agreements and/or the Privacy Policy.
Should you have any questions regarding the above, please contact Morley
Goldberg, President of Dumont & Blake Investment Advisors, LLC, at 800-345-3200.
