Privacy Policy

R. W. Roge & Company, Inc. (RWR) is committed to safe-guarding the personal information that our Clients provide us. RWR collects personal data for business purposes such as evaluating Clients' financial needs, processing Clients' requests and transactions, and informing Clients about services that may benefit them. The personal information addressed in the Privacy Policy includes:

• Information Clients provide to us on questionnaires, applications, tax returns and various other forms (such as name, address, social security number, occupation, assets and income);
• Information about Clients’ transactions with us, our affiliates and others.

It may be necessary for us to share the personal information described above with the following companies not affiliated with us for the purpose of executing transactions on Clients’ behalf:

• Financial service institutions, such as mutual fund companies, securities brokers, clearing brokers and banks.

RWR may, out of necessity in the normal course of business and only for business purposes, share with our affiliates the personal information previously described. Our affiliates may be financial service companies (such as banks and securities brokers).  During the preparation of the financial plan, RWR must collect certain relevant information from the Client. RWR does not provide legal or accounting advice so, during the preparation of Clients’ plans, it may become necessary for RWR to consult with Clients’ attorneys or accountants to obtain pertinent information. All information provided to RWR by Clients or Clients’ attorneys or accountants will be kept strictly confidential and will not be disclosed to anyone unless legally required or permitted by law.

RWR will not sell, trade or disclose to third parties any identifiable client information without the consent of the Client. Third party agents are only provided with the minimum amount of information needed to complete the requested service or transaction.  We do not otherwise share Clients’ personal data with third parties, unless they have granted us permission to do so, or unless required or permitted by law.

RWR limits access to Clients’ personal data to those employees who need to know in order to conduct our business, service Clients’ accounts, help Clients accomplish their financial objectives, and provide Clients with other services. Our employees are required to maintain and protect the confidentiality of Clients’ personal information and must follow established procedures to do so. To comply with applicable laws and regulations, we maintain physical, electronic and procedural safeguards to protect Clients’ personal information.