Privacy Policy

Locke Advisory Services LLC (“Locke Advisory Services”) is and has always been committed to maintaining the accuracy, confidentiality, and security of our client’s personal and corporate information. We have established this privacy policy to govern our use of customer information.


Locke Advisory Services is responsible for maintaining and protecting customer information under its control.  Locke Advisory Services does not sell, share or distribute Customer Information to any third-party organization.

Safeguarding Customer Information

To protect your information from unauthorized access and use, we use security measures that include computer safeguards, secured files and a secure facility.  Customer information must be protected by security safeguards that are appropriate to the sensitivity level of the information.

Limiting Use, Disclosure

Our employees are bound by a Code of Ethics and policies that require client information to be kept confidential and limits access to client information only for legitimate business purposes.  Client information may only be used or disclosed for the purpose for which it was collected unless the customer has otherwise consented, or when it is required or permitted by law.

Identifying Purposes

We collect personal information to provide our services, including investment advice, investment management, personal financial planning, tax and accounting.  The purposes for which customer information is collected shall be identified before or at the time the information is collected.

Knowledge and Consent

We use client information for our everyday business purposes to run our business.  This includes providing investment advice, managing investments, providing financial planning, tax and accounting services, communicating and marketing our services to customers and prospects, and responding to information requests as required by law.  The knowledge and consent of the customer are required for the collection, use or disclosure of customer information except where required or permitted by law. 

Limiting Collection

Client information collected must be limited to those details necessary for the purposes identified by Locke Advisory Services.  Information must be collected by fair and lawful means.


Customer information must be maintained in as accurate, complete and up-to-date form as is necessary to fulfill the purposes for which it is to be used.


Locke Advisory Services is required to make information available to customers concerning the policies and practices that apply to the management of their information.

Handling Customer Complaints and Suggestions

Customers may direct any questions or inquiries with respect to the privacy principles outlined above or about our practices by contacting the designated person(s) accountable for privacy at Locke Advisory Services.