Privacy and Business Continuity Plan
This privacy notice is being sent on behalf of Harbor View Advisors, LLC and its registered representatives (collectively called HVA Advisors LLC) in compliance with our regulatory obligations as a Broker Dealer registered with FINRA, the SEC and the State of Florida.
We recognize our obligation to keep information about your company secure and confidential. It’s important for you to know that we do not sell your information to anyone. We restrict access to non-public personal information about your company to those representatives and employees who need to know that information to provide products or services to you. We also maintain physical, electronic, and procedural safeguards to guard your non-public personal information. This notice describes how we handle your financial information that we collect while conducting our business.
We collect information about you (such as your company name, address, tax identification number and financial information) from our discussions with you, and from documents that you may deliver to us in the course of providing services to you. We may use this information to perform the services for which we have been engaged. In order to serve you and execute a transaction, we may provide your information to firms that assist us in servicing you and have a need for such information, as permitted by law. We may also disclose such information to FINRA, the Securities & Exchange Commission, or State of Florida, the regulatory agencies that oversee our activities.
If you prefer that we not disclose non-public, financial information about your company to non-affiliated third parties, (other than those disclosures permitted by law) you may opt out of those disclosures by directing us not to make those disclosures.
Anti Money Laundering Procedures:
To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify and record information that identifies each person who opens an account. What this means for you: When we commence an engagement with you, we will ask for your company name, address, designated officer names, formation documents and other information that will allow us to identify the company.
Preparedness/Business Continuity Plan:
Harbor View Advisors, LLC has developed a Business Continuity Plan detailing how we will respond to events that significatnly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we must be flexible in responding to events as they occur. With that in mind, we are providing you with this informaiton regarding our business continuity plan.
If after a significant business disruption you cannot contact us as you usually do, you should call our alterntive number 904-514-4123.
Our Business Continuity Plan:
We plan to recover quickly and resume business operations promptly after a significant business disruption. Our business continuity plan includes safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the signifcant business disruption.