What kind of personal information do we have, and where did we get it?

You, your advisors, agents, representatives, or Broker-Dealer may provide us with information which can include details such as your name and address, financial information, investment experience, birth date, social security number, e-mail address, phone number, etc.  We may also collect personal information from outside sources, such as CRD (Central Registration Depository) if you are, or were, associated with the securities industry.

What do we do with the personal information we have about you?

It is our policy not to disclose any personal information to non-affiliates that might use your personal information to contact you about their own products and services. We educate our employees to protect your personal information. Within GWG, your personal information is available only to those individuals who are involved in servicing your financial needs or in supervisory activities. This information may be used, if appropriate, to make recommendations to you about specific products and services. 

Under certain conditions, we may, as permitted by law and without your permission, provide personal information to persons or servicing agents, regulatory or law-enforcement authorities, and persons requesting information pursuant to a subpoena or court order. Finally, should your relations with GWG end, your personal information will remain protected in accordance with our privacy practices outlined in this notice.

We use security measures to protect against the loss, misuse and alteration of data stored in our system.

How can you find out what information we have about you?

You may ask to see or obtain a copy of any personal information we have in our records. If any of the information is believed to be incomplete or inaccurate, you may request that we make any necessary and appropriate changes. Please send any request to GWG, 220 South Sixth Street, Suite 1200, Minneapolis, MN 55402.