Effective: April 29, 2025
Our Commitment to You
Solist Financial LLC (“Solist Financial” or the “Advisor”) is committed to safeguarding the personal information of our clients (also referred to as “you” and “your”) that we obtain as your financial advisor, as outlined in this Privacy Policy (“Policy”).
Our relationship with you is our most important asset. We understand that you have entrusted us with your private information, and we work diligently to preserve that trust. Solist Financial (also referred to as “we,” “our,” and “us”) protects the security and confidentiality of your personal information and implements controls to ensure it is used appropriately in connection with managing or servicing your relationship with us.
Solist Financial does not sell your non-public personal information to anyone. We only provide this information for discrete and reasonable business purposes related to servicing and managing your relationship with us, as described below.
Why You Need to Know
As a Registered Investment Advisor (“RIA”), Solist Financial must share some of your personal information in order to effectively manage your account. Federal and state laws give you the right to limit some of this sharing and require us to explain how we collect, share, and protect your personal information.
What Information Do We Collect from You?
Driver’s license number
Date of birth
Social Security or taxpayer identification number
Name, address, and phone number(s)
Email address(es)
Account information, including other institutions
Assets and liabilities
Income and expenses
Investment activity
Investment experience and goals
What Information Do We Collect from Other Sources?
Custody, brokerage, and advisory agreements
Account applications and forms
Other advisory agreements and legal documents
Investment questionnaires and suitability documents
Transactional information with us or others
Other information required to service your account
How Do We Protect Your Information?
To safeguard your personal information from unauthorized access and use, we maintain physical, electronic, and procedural security measures. These include encrypted file storage, secure office environments, and password-protected systems. Our vendors also maintain strict security protocols, and our staff is trained in data protection practices.
We require third-party service providers that assist us to protect any personal information they receive from us.
Sharing of Non-Public Information
We may disclose your personal information to:
Unaffiliated service providers (e.g., custodians, broker-dealers, investment managers) as needed to manage or service your account
Government agencies or regulatory bodies as required by law
Other parties with your consent or instruction
We do not sell your information to marketing firms or other third parties.
Opt-Out Rights
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
Solist Financial does not share information in these categories, so no opt-out is necessary.
Changes to This Policy
We may update this Privacy Policy from time to time. If we make any material changes, we will notify you by posting a revised version on our website or providing you with a copy.
Contacting Us
If you have any questions about this Policy or wish to request a copy of the current version, please contact us at:
Solist Financial LLC
Email: info@solistfinancial.com
Phone: 813.294.3737
Website: www.solistfinancial.com