This policy is effective as of June 30, 2020
Scope and Overview of Policy
Personal Information We CollectWhen you request information by completing one of the available on-line request pages (such as "Contact Avantax", "How can I get started," etc.), we may collect Personal Information, including your name, address, telephone number, email address, or other means to contact you. When you register for and/or use an online service on the Sites, the Sites may collect, or receive from third parties, your contact information and additional information, such as your account number, social security number, financial information (including statements, account balances, and transaction history) submitted by you or others in connection with your use of the Sites, and verification information that we use to identify you.
Our Use and Sharing of Personal Information
Our Collection and Use of Automated Data, Including Cookies and Similar Technology
In addition to the information you provide, Avantax may also automatically collect information about your computer or your activity ("Automatic Data"). For example, we may record how many times you click on a hyperlink, determine whether you visited the Sites from a particular Internet link or advertisement, or track your path through the Sites. This automatic data collection may include but may not be limited to information collected by cookies, IP addresses, log data, browser data, mobile device identifiers, location data, and transparent GIFs.
Cookies are pieces of data stored on your device and are assigned by a web server to the browser on your device. W hen you return to a site you have visited before, your browser gives this data back to the server.
A "session cookie" may be sent to your computer or other access device when you log in to the Sites. This type of cookie recognizes you if you visit multiple pages on a site during the same session, so that you do not need to be prompted for your password on each page. Typically, once you log out or close your browser, this cookie expires and no longer has any effect. "Persistent" or longer-lasting cookies can be used for other purposes, such as to record user experience preferences when you use a website. These cookies do not expire once you log out or close your browser. You are free to decline cookies if your browser permits, but doing so may interfere with your use of the Sites.We and our third-party service providers may also use technologies similar to cookies to track your interaction with the Sites and to serve advertising that is relevant to users. Some of these technologies may include web beacons, pixels, tags and Flash objects. As with cookies, you are free to decline such technologies if your browser permits. You should refer to your browser's instructions to remove cached history and images from your device. Deleting or disabling cookies will not remove Flash objects. You should refer to Adobe's website (www.adobe.com) for more information on how to disable these objects.
Some third parties' data collection tools or embedded content, plugins or other technology on the Sites, such as cookies or social media sharing buttons, may allow their operators to learn about your interaction with our Sites, and they may combine this information with other, identifiable information they have collected about your visits to other websites or online services. These third parties may handle this information, and other information they directly collect through their technology, pursuant to their own privacy policies or practices. You may visit the Network Advertising Initiative's Consumer Opt-OutLink(http://www.networkadvertising.org/choices/),theEuropeanInteractiveDigitalAdvertisingAlliance"Your Online Choices" page (http://www.youronlinechoices.eu/) or the Digital Advertising Alliance's Consumer Opt-Out Link (http://www.aboutads.info/choices/) to opt out of receiving tailored advertising based on your Internet browsing activities from companies that participate in those programs. Some of our advertising-related activities may involve the services of companies that do not participate in those programs. For example, to opt out of Google Analytics for Display Advertising or customize Google Display Network ads, you can visit the Google Ads Settings page (https://www.google.com/settings/u/0/ads/authenticated?hl=en).
We do not change our own collection of information in response to web browser "do-not-track" signals or other third-party tools that let consumers exercise choice regarding the collection of personally identifiable information. Also, we generally do not require third parties collecting information on our Sites and online services to respond to these technologies.
Avantax may aggregate the Automatic Data it collects from its various users (which does not include your Personal Information) and share it with or sell it to Avantax's affiliates, business partners, and other third parties. The Automatic Data may be used by Avantax or the third parties for research purposes (including to help Avantax improve its products), or any other legitimate business purpose.
Protecting Children's Privacy Online
We do not seek to nor knowingly collect or use Personal Information from children under 13 on the Sites. No part of the Sites is structured to attract anyone under 13. If a child has provided us with Personal Information, a parent or guardian of that child may contact us to have the information deleted from our records. To do so, contact Avantax through the information provided in the "Contact Us" section below.For more information about the Children's Online Privacy Protection Act (COPPA), visit the FTC website: www.ftc.gov.
Links to non-Avantax websites
Services Offered through Avantax Financial Professionals
You cannot opt out of receiving required administrative or legal communications.We may periodically send you communications about new products, services, or upcoming events. You may choose to be removed from our email mailing list by following the instructions in those emails or by contacting Avantax using one of the methods listed under “Contact Us” below to request that you be removed from our marketing list. Note, however, that even if you opt out of receiving marketing communications, we will still contact you for non-marketing purposes (such as account information, legal notices, account security, bug alerts, and/or changes that may impact your ability to use Avantax products and services).
California Residents: Your California Privacy Rights
If you are a California resident, you may have the right to request and receive certain information about our disclosure of your Personal Information to third parties for their direct marketing purposes, and your choices with respect to such disclosures. Because it is our policy not to share your Personal Information with unaffiliated third parties for direct marketing purposes unless you are first given the opportunity to opt-out from such sharing, this requirement is not applicable to us. If you still wish to learn more about our compliance with this requirement, please contact us using the information provided in the "Contact Us" section below.
By Postal Mail:
3200 Olympus Blvd., Suite 100 Attn: Risk Management
Dallas, TX 75019
Call Avantax at (866) 218-8206, option 2, and ask for Risk Management.
Avantax Wealth ManagementSM is the holding company for the group of companies providing financial services under the Avantax name. Securities through Avantax Investment ServicesSM, Member FINRA, SIPC, Investment advisory services offered through Avantax Advisory ServicesSM, Insurance services offered through licensed agents of Avantax Insurance Agency LLC and Avantax Insurance Services, Inc. Headquarters are currently located at 6333 N. State Highway 161, Fourth Floor, Irving, TX 75038 and will be relocated in July/August 2020 to 3200 Olympus Blvd., Dallas, TX 75019.
Avantax Investment Securities Inc is registered with the Securities and Exchange Commission (SEC) and the Municipal Securities Rulemaking Board (MSRB). Information is available on the MSRB website www.msrb.org that describes protections available under MSRB rules and how to file a complaint. 1660025 9/19