Broker Check

Privacy Policy & Other Disclosures

CUSTOMER IDENTIFICATION PROGRAM

To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.

What this means for you: When you open account, we will ask for your name, address, date of birth and other information that will allow us to identify you.  We may also ask to see your driver's license or other identifying documents.  This information may be used by third party sources to verify the information provided.

BROKERAGE ACCOUNTS HELD AT STERNE, AGEE & LEACH, INC. (SAL)

We charge a Trade Confirm Handling Fee.(Postage/Handling Fee) of $16.00 in addition to the $3.00 charged by SAL as outlined on their fee schedule for stock trades and $20.00 on mutual funds. This is our cost to place a trade with SAL.  Also, our normal minimum commission charge is $40.00.

Northwest Investment Advisors, Inc. and its clearing firm, Sterne, Agee and Leach, Inc may receive remuneration for directing orders in equity securities to particular broker/dealers, exchanges and market centers for execution.  This remuneration is considered compensation to either or both firms.  The source and amount of any compensation received by either or both firms in connection with your transaction will be disclosed to you upon your request.

SIPC

You may obtain more information about SIPC by visiting their web site www.sipc.org or by calling them at (202)371-8300 and requesting the SIPC Brochure.

PUBLIC DISCLOSURE PROGRAM

We would like to encourage you to find out more about our firm and your Registered Representative through the Financial Industry Regulatory Authority (FINRA) BrokerCheck program.  Go to the FINRA website at www.finra.org or contact them at (800)289-9999 for more information, including a free brochure describing the BrokerCheck program.  Also on the website are many educational tools for investors.

PRIVACY POLICY STATEMENT

Under current securities law, we are required to provide you with a copy of our "Privacy Policy".  No action is required on your part, however, we hope that you take the time to read this notice to understand the importance we place on maintaining your trust by protecting the confidentiality of the information you share with us. 

NON-PUBLIC INFORMATION THAT WE COLLECT

We collect non-public, personal information about you from the following sources:

  • Information we receive from you on your account application, account transfer form or other forms;
  • Information we receive from other Financial Institutions, such as other Broker-Dealers, Mutual Fund Companies and Banks when you transfer your assets to us.

As you know, you provide us with confidential information so that we may help identify your financial goals and objectives and better service your investment needs.

NON PUBLIC INFORMATION THAT MAY BE DISCLOSED

In certain instances, we may release information about you or your account activity with Northwest Investment Advisors, Inc. to non-affiliated companies in order to provide products and services that you request. These companies include Mutual Fund Companies, Insurance Companies, Banks, and other Broker-Dealers and Registered Investment Advisors. You will be receiving a separate Privacy Policy Statement from these companies. 

Additionally, we may disclose information about you (such as your name, address, and transaction information) to outside parties that we contract with to mail you proxy information, prospectuses, statements, tax forms or other information necessary to administer your account.  And, of course, we will release any information when required to do so by law (such as upon receipt of a court order or subpoena) and when you have instructed us to do so (such as when you ask us to send a copy of your statement to your attorney or accountant).

It the policy of our firm not to sell information about our current or past clients to anyone.  Nor do we share information except as necessary to process transactions or service your account, as described above.

HOW WE PROTECT YOUR NONPUBLIC INFORMATION

Access to your personal information is restricted to Northwest Investment Advisors, Inc.'s personnel and our service providers who need to know that information in order to provide products and services to you. We maintain strict physical, electronic and procedural safeguards to keep your information protected at all times.