A financial institution must provide its customers with a notice of its privacy policies and practices, and must not disclose nonpublic personal information about a customer to non-affiliated third parties unless the institution provides certain information to the consumer and the consumer has not elected to opt out of the disclosure. The information gathered about you primarily originated directly from documents that you provided us. Such information came from forms that you completed in order to receive our services and in the records that we keep pertaining to each transaction.  In addition, we maintain records of each of your transactions and holdings.

Ally Wealth Management does not sell your information. Client information derived from the aforementioned information source may be provided to outside parties under the following conditions:

  1. Processing to Facilitate Client Business. In other words, transmission of an account and transnational information to your custodian. By agreement, third parties in this case are prohibited from using information about you beyond the specific purpose.
  2. As Required or Permitted by Law or Regulation. Responses to a subpoena, court order or regulatory demand.
  3. As authorized by you. You may, on occasion, direct Ally Wealth Management to provide specific information to a third party.

Ally Wealth Management considers you and all information it receives from you to be confidential, unless you state otherwise. Your information will only be handled in the manner described in this notice.

Ally Wealth Management restricts access to information about you to those employees and authorized agents who need to know specific information to effectively deliver products or services to you. Ally Wealth Management has instituted measures to ascertain confidentiality of your information in compliance with federal standards. You are free to ask an employee of Ally Wealth Management about information with regard to your financial privacy. We limit employee and agent access to information only to those who have a business or professional reason for knowing, and only to non-affiliated parties as permitted by law. For example, federal regulations permit us to share a limited amount of information about you with a brokerage firm in order to execute securities transactions on your behalf, or so that our firm can discuss your financial situation with your accountant or lawyer.

Information We Collect

In connection with providing you with investment products, financial advice, or other services, we obtain nonpublic personal information about you, including:

  • Information we receive from you on applications;
  • Information about your transactions with us or others, including your financial adviser; and
  • Information from credit or service bureaus or other third parties.

Information We Disclose

We will not disclose information regarding you or your account with us except under the following circumstances:

  • To your financial adviser and his or her manager;
  • To establish or maintain an account with an unaffiliated third party, such as a clearing broker providing services to you and/or Ally Wealth Management;
  • To government entities or other third parties in response to subpoenas or other legal process as required by law.

Our Security Policy

Only those individuals who need it to perform their jobs are authorized to have access to confidential client information. We maintain physical, electronic, and procedural security measures that comply with applicable state and federal regulations to safeguard confidential client information. Closed or Inactive Accounts. Should you decide to close your account (s) or become an inactive client, we will adhere to the privacy policies and practices as described in this notice.

Changes to this Privacy Policy

If we make any substantial changes in the way we use or disseminate confidential information, such changes will be posted here on our website for your review to satisfy the annual notice.


This portion of the privacy policy is for this website and governs the privacy of its users who choose to use it. The policy sets out the different areas where user privacy is concerned and outlines the obligations & requirements of the users, the website and website owners. Furthermore the way this website processes, stores and protects user data and information is also detailed within this policy.

The Website

This website and its owners take a proactive approach to user privacy and ensure the necessary steps are taken to protect the privacy of its users throughout their visiting experience.

Use of Cookies

This website uses cookies to better the users experience while visiting the website. Where applicable this website uses a cookie control system allowing the user on their first visit to the website to allow or disallow the use of cookies on their computer / device. This complies with recent legislation requirements for websites to obtain explicit consent from users before leaving behind or reading files such as cookies on a user’s computer / device.

Cookies are small files saved to the user’s computers hard drive that track, save and store information about the user’s interactions and usage of the website. This allows the website, through its server to provide the users with a tailored experience within this website.
Users are advised that if they wish to deny the use and saving of cookies from this website on to their computers hard drive they should take necessary steps within their web browsers security settings to block all cookies from this website and its external serving vendors.

This website uses tracking software to monitor its visitors to better understand how they use it. This software is provided by Google Analytics which uses cookies to track visitor usage. The software will save a cookie to your computers hard drive in order to track and monitor your engagement and usage of the website, but will not store, save or collect personal information. You can read Google’s privacy policy here for further information [ ].

Other cookies may be stored to your computers hard drive by external vendors when this website uses referral programs, sponsored links or adverts. Such cookies are used for conversion and referral tracking and typically expire after 30 days, though some may take longer. No personal information is stored, saved or collected.

Contact & Communication

Users contacting this website and/or its owners do so at their own discretion and provide any such personal details requested at their own risk. Your personal information is kept private and stored securely until a time it is no longer required or has no use, as detailed in the Data Protection Act 1998. Every effort has been made to ensure a safe and secure form to email submission process but advise users using such form to email processes that they do so at their own risk.

This website and its owners use any information submitted to provide you with further information about the products / services they offer or to assist you in answering any questions or queries you may have submitted. This includes using your details to subscribe you to any email newsletter program the website operates but only if this was made clear to you and your express permission was granted when submitting any form to email process. Or whereby you the consumer have previously purchased from or enquired about purchasing from the company a product or service that the email newsletter relates to. This is by no means an entire list of your user rights in regard to receiving email marketing material. Your details are not passed on to any third parties.

Email Newsletter

This website operates an email newsletter program, used to inform subscribers about products and services supplied by this website. Users can subscribe through an online automated process should they wish to do so but do so at their own discretion. Some subscriptions may be manually processed through prior written agreement with the user.