New Perspectives, Inc is a registered investment advisor, duly registered with the State of Mississippi in accordance and compliance with applicable securities laws and regulations. The Firm may only transact business in states in which it is properly registered as an investmnet advisor or in which it is exempted or excluded from the registration requirement. Only residents of the State of Mississippi may receive investment advisory services from New Perspectives, Inc. New Perspectives, Inc does not render personalized investment advice over the internet. In no event shall the presence of this website on the internet be interpreted or construed as a solicitation to provide investment advisory services outside of the State of Mississippi, the sole and exclusive jurisdiction in which New Perspectives, Inc is registered as an investment advisor. In the Future, should New Perspectives, Inc seek to solicit investment advisory clients in states outside of the State of Mississippi, an investment advisor registration would first be procured by the firm in such states.
SEC Adopts Final Privacy Rule
“On June 22, 2000, the Securities and Exchange Commission issued its final rule, Rule S-P, Regarding the obligation of registered investment advisors and other securities firms to protect the financial privacy of their customers. The SEC has mandated that full compliance must be achieved by July 1, 2001.”*
New Perspectives, Inc., is a Registered Investment Advisor under the rules of the Securities and Exchange Commission. In order to serve our clients, we must have access to personal financial information. We have a duty to protect this information as private. Under a ruling from the SEC, Rule S-P, we are required to detail our policies and procedures to protect your privacy. This is our privacy policy.
Personally Identifiable Financial
Information
This is any information obtained by us in connection with providing our financial services. Some information is publicly available, such as addresses and birth dates, and is not subject to Rule S-P. Nonpublic information is protected. Current clients, former clients, and prospective clients are all included in this policy.
All Employees of New Perspectives, Inc., will have access to client information. Each must abide by the above policies upon hire. Failure to follow these policies results in immediate dismissal. Client information is maintained on the firm’s computer system. Only firm employees have access to these files.
Nonpublic information includes the following:
Some nonpublic information is shared with third parties in order to provide our service. We use the discount broker TD Ameritrade to access securities for our clients. In order to open accounts, basic information on the client must be provided. This may include some nonpublic information.
Information will be limited to only that which is required by the broker. These firms are also subject to Rule S-P. In some cases, the brokers may disclose information about a client’s holdings to investment firms (i.e. mutual funds). Clients must either give permission with their initials for this to occur or they may opt out of this with a like notation. The firm advises clients to opt out of the release of this information.
Other than that stated, nonpublic information is not released to any other party without the express permission of the client. Some clients give general permission to discuss nonpublic information with other providers such as CPAs and attorneys. Such information is usually granted at the first meeting or may occur situationally. At other times, the client may grant permission to us to discuss their financial information with family and friends. Again, the client may give this permission at the initial interview or may grant it upon the situation. The client may reverse their decision at any time. The preferred method of reversal is by written communication.
Please always feel free to give our office a call if you have any additional questions.
303 Highland Park Cove, Ste. B
Ridgeland, MS 39157
Phone: 601-991-3158
Fax: 601-991-3168
nanderson@newper.com