Broker Check

Privacy Notice

Otto Capital Management

We collect nonpublic personal information about you from the following sources:

  • Information we receive from you on applications or other forms;
  • Information about your transactions with us, our affiliates, or others: and

Advisor`s policies and practices with respect to protecting the confidentiality and security of nonpublic personal information are as follows:

Nonpublic Information includes:

  • All personally identifiable financial information; and
  • Any list, description, or other grouping of consumers (and publicly available information pertaining to them) that is derived using any personally identifiable financial information that is into publicly available information – e.g., a list of persons (and their publicly listed telephone numbers) who have disclosed assets or wealth in excess of $50,000.

Policy Statement Regarding Use and Treatment of Confidential Information:

  • No confidential information, whatever the source regarding any customer or client, may be disclosed except as follows:
  • To other employees in connection with Advisor`s business.
  • To an affiliate, but the affiliate may only disclose the information to the same extent as the Advisor.
  • To nonaffiliated third parties with whom Advisor has a contractual agreement to jointly offer, endorse or sponsor a financial product or service; and to service and maintain customer accounts including effectuating a transaction.
  • All contracts with nonaffiliated third parties, entering into a joint marketing or servicing agreement with Advisor, must contain language prohibiting the disclosure of all nonpublic personal information by the nonaffiliated third party except as necessary to carry out the purpose of the agreement.

Procedures Regarding Use and Treatment of Nonpublic Personal Information:

  • The Advisor encourages its Employees to be aware of and sensitive to their treatment of nonpublic personal information. The Advisor prohibits its Employees from discussing such information unless necessary as part of their duties and responsibilities to the Advisor. Furthermore, the Advisor requires that each Employee take precautions to avoid storing nonpublic personal information in plain view in public areas of the Advisor`s facilities, and requires that each Employee remove nonpublic personal information from conference rooms, reception areas and other areas where it may be seen by third parties. Particular care should be exercised when nonpublic personal information must be discussed in public places, such as restaurants, elevators, taxicabs, trains or airplanes, where such information may be overheard. Under no circumstances may nonpublic personal information be shared with any person, including any spouse or other family member, who is not an Employee of the Advisor and who does not have a reason to know such information.

We do not disclose any nonpublic personal information about our clients or former clients to anyone, except as permitted by law.

A complete copy of our Privacy Policy and Procedures will be sent to you upon written request.