Kagan Cocozza Financial Advisors provides financial advisory services through Kagan Cocozza Investments. Understand that under no circumstances will Kagan Cocozza, share or otherwise provide your personal information to any non-affiliated third party except as set forth in this policy. In order to maintain and service your account, Kagan Cocozza will gather and store information about you. This information, collected via the new account application and other account documentation, is critical to open and administer your account. In addition to this collected information, transactions facilitated by you through Kagan Cocozza will be kept for reporting purposes and pursuant to Kagan Cocozza’s regulatory requirements. To provide superior service our clients, it is necessary for Kagan Cocozza to share information with third parties it is currently involved with in a contractual relationship (such as a referring financial institution). This sharing of personal information is carried out on a strictly professional basis and is essential to servicing your account.
We share the minimum amount of information necessary for that company to offer its product or service. We may also share information with unaffiliated companies that assist us in providing our products and services to our customers; in the normal course of our business (for example, with consumer reporting agencies and government agencies); when legally required or permitted in connection with fraud investigations and litigation; in connection with acquisitions and sales; and at the request or with the permission of a customer. Kagan Cocozza has received assurances from these third parties that they will not share your personal information.
Through the normal course of servicing your account, certain agents and employees may have access to your confidential account information; this may include operations and support personnel, as well as your investment professional, access to this information is limited and held in the strictest confidence. Information about former customers who do not currently maintain an account relationship with Kagan Cocozza is not shared with any outside party. Due to the partnership that Kagan Cocozza has with financial institutions to offer investment services, sharing of information with these financial institutions is critical to servicing your account. Allowing this sharing process to continue uninterrupted will allow you to take full advantage of the value offered by the relationship between your financial institution and Kagan Cocozza.