Privacy Policy

Effective 3/29/2020

What does Lake Street Advisors Group, LLC (“LSA”) do with your personal information?

Why?

Financial services 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 depends on the types of services you have with us. This information can include:

  • Your Social Security number, income, and wealth information
  • Account balances and transaction history
  • Investment experience and account transactions

When you are no longer our customer, we will only share your information as described in this notice.

How?

All financial companies need to share customer’s personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customer’s personal information, the reasons LSA chooses to share, and whether you can limit this sharing.


Reasons we can share your personal information Does LSA 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   YesNo
For our marketing purposes to offer our products and services to you   YesNo
For joint marketing with other financial companies   No We don’t share
For our affiliates’ everyday business purposes information about your transactions and experiences   YesNo
For our affiliates’ everyday business purposes information about your creditworthiness   NoWe don’t share
For non-affiliates to market to you   NoWe don’t share

Questions

Call (603) 610-4100 or go to www.lakestreetadvisors.com

Who is providing this notice?

LAKE STREET ADVISORS GROUP, LLC (“LSA”)

How does LSA 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 LSA collect my personal information?

We collect your personal information, for example, when you

  • Open an account or give us your income information
  • Tell us about your portfolio or deposit money
  • Enter into an investment advisory agreement

We also collect your personal information from other companies.

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 nonfinancial companies.

  • Our affiliates include Focus Operating, LLC.

Non-Affiliates

Companies not related by common ownership or control. They can be financial and nonfinancial companies.

  • LSA 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.

  • LSA does not jointly market.