ADV & Privacy Policy

Client Privacy Policy 2024

Throughout the policy, we refer to information that personally identifies you or your accounts as “personal information”.

We do not sell your personal information to anyone.

How we collect information about you:

  • Information that you give us:  This includes information that you give us when we open your account and discuss your personal financial situation. The information typically includes your name, address, phone number, email address, Social Security number and date of birth, as well as details about your interests, investments and investment experience. 
  • Transaction and experience information: Once you are a client, we collect and maintain personal information about your account activity, including your transactions, balances, positions and history. This information allows us to manage your account. 
  • Third-party information providers: We may collect information about you from your employer, CPA or other entity that can provide us with information that will help us manage your account. 
  • We do not disclose personal information to third parties, unless one of the following limited exceptions applies.
    • We disclose your personal information to effect a transaction that a client requested or a transaction requires the purchase of a security through a brokerage firm that is not the client’s normal custodian.
    • We disclose personal information to companies that help us process or service your transactions or account(s), including companies that print and mail your account statements.
    • We may disclose or report personal information in limited circumstances where we believe in good faith that disclosure is required or permitted under law, for example, to cooperate with regulators or law enforcement authorities, perform credit/authentication checks.  

Outside of these exceptions, we will not share your personal information with third parties unless you have specifically asked us to do so, that is, opted in.

Special “Opt In” section for Income Tax Professionals. Shoker Investments requires a signed release to disclose portfolio and custodian tax information with your tax professional. 

We use your personal information to fulfill our regulatory obligations and to help us service your financial needs.

We protect the confidentiality and security of your personal information.

  • Companies or individuals we hire to provide support services are not allowed to use your personal information for their own purposes and are contractually obligated to maintain strict confidentiality.  We limit their use of your personal information to the performance of the specific service we have requested.
  • We restrict access to personal information to our employees and agents for business purposes only.  All employees are trained and required to safeguard such information.
  • We maintain physical, electronic, and procedural safeguards to guard your personal information.

Social Media Exception—Special Notice for members of “LinkedIn”. All employees of Shoker Investments who maintain a “LinkedIn” account have all contacts set to “Private”. This means that if you connect to a member of Shoker Investments their contact list is set to private, so you will not be seen by other members or people looking at our profile. However, anyone who is both a contact of yours AND Shoker Investments, a “Shared Contact” will be able to see your name and contact information. If you do not wish to be seen by your shared contacts, please notify us and we will delink you as a contact. At this time this is the only way to not be seen by shared contacts.

We continue to evaluate our efforts to protect personal information and make every effort to keep your personal information accurate and up to date.

  • If you identify any inaccuracy in your personal information, or you need to make a change to that information, please contact us so that we may promptly update our records.

We will provide notice of changes in our information-sharing practices.

  • If, at any time in the future, it is necessary to disclose any of your personal information in a way that is inconsistent with this policy, we will give you advance notice of the proposed change so that you will have the opportunity to opt out of such disclosure.

Please call 513-524-1776 with questions or comments regarding your privacy or this policy.  Thanks.

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