Privacy Policy

Privacy Policy/Notice of Privacy Policy
(Effective January 1, 2017)

Blakeslee & Blakeslee, Inc. is an independent financial planning firm.  We are committed to safeguarding the personal information and privacy of our clients.  We collect and use personal information about our clients on our Account Agreement and on other applications and forms.  This information enables us to better serve our clients and to meet the requirements of various regulatory agencies, including FINRA and the SEC.  We share client information with our affiliate Blakeslee & Blakeslee Financial Advisers.  We do not disclose this personal information to third parties, except in the following circumstances:

(1) by authorization of the client or the client’s authorized representative; (2) by order of a legal or regulatory authority; (3) for our everyday business purposes, such as to process your transactions and/or maintain your account(s); and (4) by request of a regulatory authority or other legally required auditing entity in the course of an audit, including internal and external audits by such entities as FINRA, the SEC, the California Department of Corporations, the IRS, and the California Franchise Tax Board.  We may also provide client address information to third parties to facilitate firm mailings to clients such as the annual letter, the privacy policy, and other items of significance.

We maintain multiple physical and electronic safeguards to protect the personal information of our clients. If you have any questions regarding this notice or other privacy issues, please consult your Blakeslee & Blakeslee registered representative, the firm’s director of operations (Deirdre Torres), or the firm’s B/D Chief Compliance Officer (Kara Woodruff).

Blakeslee & Blakeslee, Inc. is a member of the Securities Investor Protection Corporation (SIPC).  More information about SIPC can be obtained on its website at www.sipc.org or by calling 202/371-8300.

Blakeslee & Blakeslee, Inc. is also a member of FINRA.  For assistance in checking the background of a broker or brokerage firm, call the FINRA BrokerCheck Hotline at 800/289-9999.  You may also use the online version of FINRA’s BrokerCheck and learn more about FINRA and its role in the financial industry by visiting www.finra.org.

 

 

Paso Robles
Branch Office

544 12th Street
Paso Robles, CA 93446

805/239/4388

San Luis Obispo
Corporate Office

1101 Marsh Street
San Luis Obispo, CA 93401

805/543/4366

Santa Maria
Branch Office

1157 E. Clark Avenue, Suite H
Santa Maria, CA 93455

805/937/6321