Privacy Statement

October, 2017

PRIVACY DISCLOSURE NOTICE

WHAT DOES TOTH FINANCIAL ADVISORY CORPORATION (“TOTH FINANCIAL”) DO WITH YOUR PERSONAL INFORMATION?

Why?

Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not
all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this
notice carefully to understand what we do.

 

What?

The types of personal information we collect and share depend on the product or service you have with us. This information can
include:

  • Social security number
  • Income
  • Assets
  • Risk tolerance
  • Wire transfer instructions
  • Transaction history

When you are no longer our customer, we continue to retain information about you in accordance with SEC regulations.

 

How?

All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list
the reasons financial companies can share their customers’ personal information; the reasons Toth Financial chooses to share; and
whether you can limit this sharing.

 

Reasons we can share your personal information

For our everyday business purposes – such as to process your transactions, maintain your accounts(s) or respond to court orders and legal investigations.

Does Toth Financial Share? Yes.

Can you limit this sharing? No.

For our marketing purposes – to offer our products and services to you

Does Toth Financial Share? No

Can you limit this sharing? We don’t share.

For joint marketing with other financial companies

Does Toth Financial Share? No

Can you limit this sharing? We don’t share.

For our affiliates’ everyday business purposes – information about your transactions and experiences

Does Toth Financial Share? Yes.

Can you limit this sharing? No.

For our affiliates to market to you

Does Toth Financial Share? Yes.

Can you limit this sharing? No.

For nonaffiliates to market to you

Does Toth Financial Share? No

Can you limit this sharing? We don’t share.

 

Questions?

Contact Ken Bowen 703-443-8684 (phone) or ken@tothfinancial.com (email)

 

What do we do?

How does Toth Financial protect my personal information?

To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.

How does Toth Financial collect my personal information?

We collect your personal information, for example, when you:

  • Enter into an investment advisory contract
  • Seek financial advice
  • Make deposits or withdrawals from your account
  • Tell us about your investment or retirement portfolio

Why can’t I limit all sharing?

Federal law gives you the right to limit only:

  • sharing for affiliates’ everyday business purposes—information about your creditworthiness
  • affiliates from using your information to market to you
  • sharing for nonaffiliates to market to you

State laws and individual companies may give you additional rights to limit sharing.

 

Definitions

Affiliates

Companies related by common ownership or control. They can be financial and nonfinancial companies.

  • Our affiliates include companies such as Toth & Associates, Inc.

Nonaffiliates

Companies not related by common ownership or control. They can be financial and nonfinancial companies.

  • Toth Financial does not share with nonaffiliates so they can market to you.

Joint Marketing

A formal agreement between nonaffiliated financial companies that together market financial products or services to you.

  • Toth Financial does not jointly market