Privacy Policy

Customer Privacy of Information Policy

As our customer, you have trusted The L. Warner Companies, Inc. (TWC) to help you achieve financial success and security. To maintain that trust, we are committed to protect the privacy and security of the personal information that we collect about our customers. This notice is intended to help you understand how we collect, handle, and safeguard that information.
We treat the personal information of our customers in a confidential manner. We do not provide any information to unrelated companies for the purpose of marketing their products or services to our customers.

When you establish a relationship with us, you are requested to furnish personal and financial information used to assist in assessing your financial objectives and goals. The information you share with us is often private and confidential, and we are therefore committed to its protection. In addition to the information collected, during the course of our relationship, we may also collect a variety of nonpublic personal information from other sources. The confidential information we collect may include the following:

  • Information we receive from you, such as your name, address, social security number, assets, income, investment objectives and other information as required by Industry Regulators.
  • Information about your transactions, including balances, portfolio holdings, cash balances, margin balances, and customer statements. Also included may be portfolio evaluations.
  • Information we receive from our broker dealer - M Holdings Securities, Inc., our correspondent clearing broker - Pershing, various fund sponsors, unaffiliated custodians and money managers, your accountant, attorney or other professional obtained by you.

Medical or health information that you the customer authorize us to receive from doctors or other health care providers and medical vendors in relation to the advice provided in relation to insurance policies.

TWC does not share customer information with any third party other than those that are authorized by you or that are required in order for us to provide services agreed upon by the client, service an account, execute a transaction, or if required to do so by regulation or law. We may share information with our Broker/Dealer, M Holdings Securities, Inc., its clearing correspondent Pershing, a third party money manager or unaffiliated custodian as is necessary to provide advisory services.

TWC has established policies to maintain physical, electronic, and procedural safeguards to maintain the confidentiality of the personal information of our customers. Appropriate measures are taken to ensure that access is available to those individuals who need to know that information in order to provide our products and services.

TWC is committed to keeping your customer information secure, accurate, and current. It is your responsibility to provide accurate information and to update changes to your personal data as necessary. You should contact us with any updates and/or changes required to your personal information.

Your relationship is very important to us and we thank you for the opportunity to serve your financial needs. If you have questions regarding this policy, please contact us at:

9690 Deereco Road
Suite 650  
Timonium, MD 21093

410-252-8965 (fax)