Privacy Notice

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Last modified: March 2024

Facts: What Does NorthRock Partners Do With Your Personal 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 depend on the product or service you have with us. This information can include:

  • Social Security number and assets
  • Account balances and transaction history
  • Wire transfer instructions and risk tolerance

When you are no longer our customer, 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 NorthRock Partners (“NorthRock”) chooses to share; and whether you can limit this sharing.
Reasons we can share your information Does NorthRock 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 No We don’t share
For joint marketing with other financial companies No We don’t share
For our affiliates’ everyday business purposes – information about your transactions and experiences Yes No
For our affiliates’ everyday business purposes – information about your creditworthiness No We don’t share
For non-affiliates to market to you No We don’t share
What we do
How does NorthRock 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 buildings.
How does NorthRock collect my personal information? We collect your personal information, for example, when you

  • Open an account or seek advice about your investments
  • Make a wire transfer or direct us to buy securities
  • Enter into an investment advisory contract
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
  • sharing for non-affiliates to market to you

State laws and individual companies may give you additional rights to limit sharing.
Definitions
Affiliates Companies related by common ownership or control. They can be financial and non-financial companies.

  • Our affiliates include non-financial companies such as NorthRock Partners Tax Services, LLC, Foundation X, Inc., Foundation X, Inc., NorthRockX, NRX Holding, LLC, NRX Hockey, LLC, RSG Hockey, LLC, and Sammons® Financial Group, Inc.
Non-affiliates Companies not related by common ownership or control. They can be financial and non-financial companies.

  • NorthRock does not share with non-affiliates so they can market to you.
Joint marketing A formal agreement between non-affiliated financial companies that together market financial products or services to you.

  • NorthRock doesn’t jointly market