PRIVACY NOTICE

Synergy Investment Group, LLC recognizes that protecting the privacy and security of the personal information we obtain about our customers and former customers is an important responsibility. The information is used to ensure accuracy in reporting and record keeping, to maintain our customers’ accounts, and to carry out requested transactions. The following describes our policy about how we treat that information. This notice refers to Synergy Investment Group, LLC and its affiliated companies using the terms “we” “us” and "our."  

How we obtain information. We obtain most of the information we need directly from you on your application, other forms you complete, or from those you have authorized to provide information to us in connection with our providing you with our services. We also obtain information in the course of processing and recording your transactions with us.  

Information we may obtain. The type of information we obtain depends on the type of product or service we are providing. The types of information we may obtain fall into the following general categories:

Customer Information. Customer information includes identifying information such as your name, address, telephone number, social security number, and demographic data about you. It also includes information about your transactions with us such as the type and value of investments that you own.

Financial Information. Financial information is certain information covered by the Fair Credit Reporting Act and includes information such as your credit history, income, assets, investment objectives, investment experience, type and value of other investment products you own or for which you have applied.

Security of the information. We maintain physical, electronic and procedural safeguards that comply with Federal and State Laws to protect all the information we have obtained about you.

What we do with the information we obtain. We use information about you for business purposes such as evaluating your request for investments or other products or services, administering our products and services, and processing your transactions with us. We may also use information about you to customize offers we (or organizations on our behalf) send you about other products and services we provide.

Disclosure of information. Under our current privacy policy we do not sell information about you to others.  In order to offer you products and services that may be of value to you, we may, where permitted by law disclose the customer information described above to the following: 

• organization we have hired to provide marketing services on our behalf;
• other financial institutions, including Clearing Firms, with which we jointly provide financial products or services;
• our affiliated insurance companies;
• companies affiliated with us that offer products or services other than insurance;
• anyone to whom you have authorized us to disclose the information; and
• others as permitted or required by law.

We may disclose non-public personal information about you in connection with the transfer of your account to another financial institution at your request or the request of your representative.  If you elect to "opt-out" and do not want us to disclose your non-public personal information with your representative's new financial institution, please contact us at our main office above listed.

Disclosure of information about former clients.
Our privacy policy is the same for current, as well as former clients. If you close your account, in the process of transferring your investments we may share your information with the new broker-dealer or custodian that you or your representative selects. If our representative servicing your account leaves us to join another broker-dealer, the representative is permitted to retain copies of your information so that he or she can assist with the transfer of your account and continue to serve you at their new firm. The representative's continuing use of your information will be subject to the new firm's policy.

"Opting-out" of Third-Party Disclosures.
If you do not want us to share your information (other than as prescribed by law) with any nonaffiliated third parties, including the registered representative servicing your account when he or she leaves us to join another firm, you may contact our Compliance Department at 888.333.7637.

FINRA and SIPC Disclosures.
In accordance with the Financial Industry Regulatory Authority (FINRA) Investment Education and Protection Rule, we are providing the following information:

• The FINRA Public Disclosure Hotline telephone number is (800)289-9999
• The FINRA Internet Web site address is http://www.finra.org/

A copy of an investor brochure that includes information concerning the FINRA Public Disclosure Program can be obtained by calling the Public Disclosure Hotline or keying in on the FINRA Web site.
 
Securities Investor Protection Corporation (SIPC) - You may obtain information about SIPC, including the SIPC brochure, by contacting SIPC by either on the following two methods:

• SIPC's Web Site: http://www.sipc.org or
• SIPC's telephone number: (202) 371-8300

FINRA Broker Check  Disclosures.

• To perform a search on FINRA BrokerCheck visit:  http://www.finra.org
• If you prefer to use the telephone, call 1-800-289-9999.

 We hope that you have found this information helpful.  If you any questions or would like more information, please don't hesitate to contact your representative.