Investment Recommendations: The information provided on this website is for informational purposes only, is of a general nature and should not be construed as investment advice or to provide any investment, tax, financial or legal advice or service to any person in any jurisdiction. Decisions based on the information contained on the website are the sole responsibility of the visitor, and the visitor agrees to hold
Regulatory Jurisdictional Restrictions: The information provided on this website provides general information about the services provided by Dividend Assets Capital. Nothing on this website is intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution or use would be contrary to law or regulation, or that would subject Dividend Assets Capital to any registration requirement within such jurisdiction or country. Dividend Assets Capital does not claim that information on this website is appropriate or available for use outside of the United States.
Dividend Assets Capital may collect personal information about you from any of the following sources:
- Account applications,
- Other account forms,
- Transactional activity in your account(s), or
- Other sources with your consent or with the consent of your representative.
Dividend Assets Capital may use personal information about you to:
- Service and maintain your account(s)
- Process transactions,
- Respond to inquiries from you or your representative,
- Develop, offer, and deliver products and services, or
- Comply with legal and regulatory requirements.
Protection and Disclosure of Personal Nonpublic Information Dividend Assets Capital will use this information only for the services required and as permitted by applicable law or regulation. Dividend Assets Capital is not permitted to share or use this information for any other purpose.
The information Dividend Assets Capital collects may be shared with companies that perform various services such as transfer agents, custodians, broker-dealers, and other financial institutions with whom Dividend Assets Capital has joint business relationship agreements. In addition, Dividend Assets Capital may share your information with its attorneys, accountants and auditors as well as with Government agencies, other regulatory bodies and law enforcement officials where applicable. Dividend Assets Capital requires any third party service providers (and their service providers) and financial institutions with whom it has agreements to maintain at least the same level of security that it provides.
Additional Privacy Information
- Shredding: Any personal information about you or your account(s) with us that is not needed to maintain your account is multi-directionally shredded before being securely discarded or recycled. Dividend Assets Capital employs Iron Mountain to perform SEC-compliant shredding on our premises.
- Internet Policy: Dividend Assets Capital website is for company information only. Dividend Assets Capital does not provide personal or account(s) information on our website. If you are interested, Dividend Assets Capital will provide you with the information needed to access your account(s) through your bank custodian or clearing firm.
- E-Mail Policy: Even with encrypting, email may not be a secure way of transmitting personal information. It is our policy to ask that you do not submit your investment or personal information to us by email.
For questions about our policy, or for additional copies of this notice, please contact:
John C. Swhear, Esquire
Chief Compliance Officer
Dividend Assets Capital, LLC
58 Riverwalk Boulevard
Ridgeland, SC 29936
(866) 348-4769 Toll-Free
(843) 645-9700 Local
(843) 645-9701 Fax