Privacy Policy

Our Client Service Mission:
At AVIANCE we believe that our client is top priority. We wish to engage in a friendly, yet professional relationship whereby you feel we are providing a beneficial and convenient service. We strive to conduct all aspects of our service with integrity, honesty and consistency.

Responsiveness:
When you have questions or queries requiring an answer, we will provide a response within four working hours. We will attempt to be proactive, approachable, and responsive to the needs of our clients. If you feel we have failed to live up to these, or any other expectations, we promise to pass your comments to our CEO so prompt corrective action will be taken.

Privacy and Confidentiality:
Please refer to our privacy notice below.

Transparency of Services:
We will attempt to provide fair and accurate disclosure relating to all our services. If there is anything you see that we could do better, inform us.

We take every comment seriously and strive to provide the finest service you deserve.

PRIVACY NOTICE

 

Aviance Capital Management, LLC (referred to as “ACM”) maintains physical, electronic, and procedural safeguards that comply with federal standards to protect its clients’ nonpublic personal information (“information”).  Through this policy and its underlying procedures, ACM attempts to secure the confidentiality of customer records and information and protect against anticipated threats or hazards to the security or integrity of customer records and information. 

It is the policy of ACM to restrict access to all current and former clients’ information (i.e., information and records pertaining to personal background, investment objectives, financial situation, tax information/returns, investment holdings, account numbers, account balances, etc.) to those employees and affiliated/nonaffiliated entities who need to know that information in order to provide products or services in furtherance of the client's engagement of ACM.  In that regard, ACM may disclose the client’s information: (1) to individuals and/or entities not affiliated with ACM, including, but not limited to the client’s  other professional advisors and/or certain  service providers that may be recommended or engaged by ACM in furtherance  of  the client's engagement of ACM  (i.e., attorney, accountant, insurance agent, broker-dealer, investment adviser, account custodian, record keeper, etc.); (2) required to do so by judicial or regulatory process; or (3) otherwise permitted to do so in accordance with the parameters of applicable federal and/or state privacy regulations.  The disclosure of information contained in any document completed by the client for processing and/or transmittal by ACM to facilitate the commencement/continuation/termination of a business relationship between the client and/or between ACM  and a nonaffiliated third party service provider  (i.e., broker-dealer, investment adviser, account custodian, record keeper,  insurance company, etc.), including, but not limited to,  information contained in any document completed and/or executed by the client in furtherance  of  the client's engagement of ACM (i.e., advisory agreement, client information form, etc.), shall be deemed as having been automatically authorized by the client with respect to the corresponding nonaffiliated third party service provider.

ACM permits only authorized employees and affiliates who have signed a copy of ACM’s Privacy Policy to have access to client information.  Employees violating ACM’s Privacy Policy will be subject to ACM’s disciplinary process.  Additionally, whenever ACM hires other organizations to provide services to ACM’s clients, ACM will require them to sign confidentiality agreements and/or the Privacy Policy.

Should you have any questions regarding the above, please contact Edward C. Bertelsen, Privacy Officer.