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Privacy Statement

JAS Financial Services, LLC recognizes the importance of keeping your records and information confidential.  We respect your right to keep your personal information confidential and understand your desire to avoid unwanted solicitations.  We endeavor to protect the records and personal information of current and former clients from anticipated threats or hazards.

We collect nonpublic personal information about you that is either provided to us by you or obtained by us with your authorization.  We use that information to provide financial planning, investment and consulting services to you.

Depending on the service(s) provided, the information we collect may include: your name, address, phone number(s), emails address(es), social security number, date of birth, marital status, number of dependents, assets, liabilities, employment history, beneficiary information, personal financial records, investments, investment experience, tax returns, and health matters.

As a general rule, we do not disclose nonpublic personal information about our clients or former clients to anyone without your expressed consent.  However, to the extent permitted by law, applicable regulations and any applicable Code of Professional Conduct, certain nonpublic information about you may be disclosed in the following situations:

  • To comply with a validly issued and enforceable subpoena
  • In the course of a review of our firm’s practices under the authorization of a state or national licensing or regulatory organization, or as necessary to properly respond to an inquiry or complaint from such a licensing or regulatory organization.
  • In conjunction with a prospective purchase, sale, or merger of all or part of our firm, provided that we take appropriate precautions (for example, through a written confidentiality agreement) so the prospective purchaser or merger partner does not disclose information obtained in the course of the review.
  • As a part of any actual or threatened legal proceeding or alternative dispute resolution proceedings either initiated by or against us, provided we disclose only the information necessary to file, pursue, or defend against the lawsuit and take reasonable precautions to ensure that the information disclosed does not become a matter of public record.
  • To provide information to affiliates of the firm and nonaffiliated third parties who perform services or functions for us in conjunction with our services to you.  However, we will only make such a disclosure if we have a contractual agreement with the other party which prohibits them from disclosing or using the information other than for the purposes for which it was disclosed.

Keeping your information confidential and secure is of the utmost importance to us.  Except as otherwise described in this notice, we restrict access to nonpublic personal information about you to employees of our firm and other parties who must use that information to provide services to you.  Other parties include: attorneys, insurance agents, broker-dealers, investment advisors, and custodians.

We maintain physical, electronic, and procedural safeguards in compliance with applicable laws and regulations to guard your personal information from unauthorized access, alteration, or premature destruction.

Personally identifiable information about you will be maintained during the time you are a client, and for the required time thereafter that such records are required to be maintained by federal and state securities laws, and consistent with code of professional responsibilities of the American Institute of CPAs and the National Association of Personal Financial Planners.

Please contact Joseph A. Smith, Member of JAS Financial Services, LLC, at 847-328-8011 or