disclosures

Web Page Disclosure

Privacy Policy

The publication of W. Wall and Company, Inc.'s website on the Internet should not be construed by any consumer and/or prospective client as a solicitation to effect, or the rendering of personalized investment advice for compensation, over the Internet. W. Wall and Company, Inc.'s website is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links.

For information pertaining to the registration status of W. Wall and Company, Inc., please contact the SEC or the state securities law administrator for North Carolina. Click here to check Warren Wall's status as a Certified Planner. Click here for a copy of W. Wall and Company, Inc.'s current written disclosure statement discussing business operations, services, and fees is available from W. Wall and Company, Inc. upon written request.

W. Wall and Company, Inc. does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to the W. Wall and Company, Inc. web site or incorporated herein, and takes no responsibility therefore. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.

 

Certain portions of W. Wall and Company, Inc.'s web site (i.e. newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to, W. Wall and Company, Inc.'s positions and/or recommendations as of a specific prior date. Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s). Moreover, no client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from W. Wall and Company, Inc. or from any other investment professional. W. Wall and Company, Inc. staff members are neither attorneys nor accountants, and no portion of the website content should be interpreted as legal, accounting or tax advice.

Privacy Policy

We at W. Wall and Company, Inc. respect your financial privacy. We recognize that you have provided us with private personal financial information, and want you to know our policy regarding that information.

We collect your personal financial information from the following sources:

  • Information you have given us such as investment advisory agreements, brokerage account applications, and other documents you completed while opening and maintaining your accounts with us.
  • Information you have given us orally.
  • Information we receive from third parties such as brokerage firms, outside managers and banks about your transactions with us or with others.

We do not disclose any nonpublic personal financial information about you to anyone, except in the following circumstances:

  • When we are required to execute transactions for your account or otherwise to provide services you request.
  • When you have specifically authorized and directed us to do so.
  • When required by law, such as when our books and records are examined by federal or state regulators.

We prohibit any employee from providing client information over the telephone or in response to an e-mail message unless the employee has identified the other person as the client, a fiduciary representative of the client, an authorized agent of the client or a party that needs the information to complete a transaction for the client (such as broker-dealers, custodians or administrative service providers).

We maintain physical, electronic and procedural safeguards within the firm's offices to protect your privacy.