At Fairhaven Wealth Management, LLC, we respect every individual’s right to privacy. It is because of this we extend the enclosed pledge to you. Our relationship with you is our most valuable asset. It is the very foundation on which our name and reputation are built.

We understand the importance you place on the privacy and security of personal information. Whether that information was provided by you personally, or acquired as a result of our providing products, services, or resulting from regular business transactions, any information which personally identifies you or your accounts will continue to be held in strictest confidence. Fairhaven Wealth Management, LLC (“FWM”) collects and develops personal information about you.

The term “Customer Information” means any type of personally identifiable information provided by you or gathered about you that is not generally publicly known. The essential purpose for collecting Customer Information is to provide and support the financial products and services you obtain from FWM. The categories of Customer Information collected by FWM are generally described below.

FWM collects and develops Customer Information in order to provide you with investment advisory services. Customer information FWM collects include:

• Information we receive from you on applications or other forms and specifically including your name, address, Social Security number, income, income tax rate, net worth, financial objectives, risk tolerance and the names of beneficiaries.

• Information we receive or obtain from other sources, including information collected and developed by issuers of securities you own, in order to issue, administer and process transactions in such securities as well as information created as a results of transactions effected on your behalf.

• This Customer Information may include personal and household information such as income, spending habits, investment objectives, financial goals, statements of account, and other records concerning your financial condition and assets, together with information concerning employee benefits and retirement plan interests, wills, trusts, mortgages and tax returns.

• Information developed as part of financial plans, analyses or investment advisory services.

The following is an explanation of how we will continue to meet or exceed your privacy and confidentiality requirements.

1. We do not sell personal information to anyone!

2. We will only share personal information with others as stated in this pledge, unless we give you additional notice or ask for your permission. We do reserve the right to disclose or report personal information in limited circumstances where we believe in good faith that disclosure is required under law, to cooperate with regulators or law enforcement authorities, to report debts owed to us, to protect against fraud, to protect our rights or property, or upon reasonable request by an affiliate or agent with whom you choose to do business. This disclosure of personal information includes a disclosure to an unaffiliated broker/dealer. Because some of the Investment Advisory Representatives of FWM are also Registered Representatives with an unaffiliated broker/dealer, that broker/dealer has certain supervisory and administrative duties pursuant to the requirements of FINRA conduct rule 3040. In that regard, the broker/dealer will require certain account suitability and identifying information about you and your transactions. 

3. Whenever we collect personal information from you, we will reference this pledge and notification or otherwise explain to you how we intend to use that information. We use personal information in ways that are compatible with the purposes for which we originally requested it. For example, we will use the information you give us to process your requests and transactions, to provide you with additional information about products and services, or to evaluate your financial needs. To do so, we may share personal information with an agent or affiliate.