Our Commitment To Privacy

VestGen Investment Management, Inc. is committed to maintaining the confidentiality, integrity, and security of personal information about our current and prospective business partners, investment professionals and their clients.

Online Privacy Policy

How and Why We Obtain Personal Information

We take great care to protect personal information about you and when we use it, we do so with respect for your privacy. We may use personal information about you to service and maintain your account; process transactions in your account; respond to inquiries from you or your representative; develop, offer, and deliver products and services; or to fulfill legal and regulatory requirements. We may collect public and non-public personal information about you from any of the following sources:

You or your representative on applications or forms (for example, name, address, Social Security number, birth date, assets and income)

Transactional activity in your account (for example, trading history and balances)

Other interactions with us (for example, discussions with our customer service staff or information you enter into our Websites)

Emails from you or an authorized representative

Information from other third party data services (for example, to verify your identity and to better understand your product and service needs)

You or your representative regarding your preferences (for example, your choice of electronic statement delivery, or the screen layout you specify if you use our Internet sites)

Other sources with your consent or with the consent of your representative

How We Protect Information About You

We consider the protection of personal information to be a foundation of customer trust and a sound business practice. We employ physical, electronic and procedural controls and we regularly adapt these controls to respond to changing requirements and advances in technology.

We restrict access to personal information to those who require it to develop, support, offer and deliver products and services to you.

How We Share Information About You With Third Parties

We do not share personal information about our customers with unaffiliated third parties for use in marketing their products and services. We may share personal information with the following entities:

Unaffiliated service providers (for example, printing and mailing companies, securities clearinghouses, marketing service providers, and other entities who may provide services at our direction)

Government agencies, other regulatory bodies and law enforcement officials (for example, for tax purposes or for reporting suspicious transactions)

Other organizations, with your consent or as directed by your representative (for example, if you use us as a financial reference in applying for credit with another institution), or as permitted or required by law (for example, for fraud prevention)

Our service providers are obligated to keep the personal information we share with them confidential and use it only to provide services specified by us.

How We Share Information About You Within Our Company

We may share personal information about you with various company affiliates including internal service providers which perform, for example, printing, mailing, and data processing services.

Privacy Online

We use the information collected via this site in accordance with our Privacy Policy. Privacy, security and service in our online operations are just as critical as in the rest of our business. We employ all of the safeguards described previously, along with the following Internet-specific practices.

We use firewall barriers, encryption techniques and authentication procedures, among others, to maintain the security of your online session and to protect our accounts and systems from unauthorized access. We may also place cookies and similar files on your hard drive for purposes such as security, to facilitate site navigation, and to personalize your experience on our site.

When you visit our Internet sites, we may collect technical and navigational information, such as computer browser type, Internet protocol address, pages visited, and average time spent on our Websites. This information may be used, for example, to alert you to software compatibility issues, or it may be analyzed to improve our Web design and functionality.

We may use third party service providers to help us analyze certain online activities. For example, these service providers may help us measure the performance of our online advertising campaigns or analyze visitor activity on our Websites. We may permit these service providers to use cookies and other technologies, such as Web beacons or pixel tags, to perform these services for us. We do not share personally identifiable information about our clients with these third party service providers, and these service providers do not collect such information on our behalf.

Additional Information

If you are a former business partner, investment professional, or client, these policies also apply to you; we treat your information with the same care as we do information about current business partners, investment professionals, and clients.

We offer several options for accessing and, if necessary, correcting your information. You can review your information using your statements, or through our automated telephone or Internet services. You may also write or call us with your request for information. If we serve you through an investment professional, please contact them directly. Specific mailing addresses and telephone numbers are listed on your statements and other correspondence.

Web links

Other companies or organizations may have links to their websites on our Web pages. We are not responsible for how they collect, use, disclose or secure the information that you provide to them. Please read their privacy policies so you can learn how their website uses your information.

For more information on us or our Privacy Policy please contact:

Tom Ericson
Chief Compliance Officer
3393 Bargaintown Road
Egg Harbor Township, NJ 08234
888-641-7100

This privacy statement was updated on January 2021.