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Privacy Policy

The privacy of the clients of Maxim Partners, LLC (“Maxim”) is a matter of the utmost concern. We do not share or disclose customer information with non-affiliated third parties except as permitted or required by law and is committed to safeguarding the confidential information of its clients.  We hold all personal information provided to clients in the strictest confidence and it is the objective of Maxim to protect the privacy of all clients.

In the event that there is to be a change in this policy, Maxim will provide clients with written notice and clients will be provided an opportunity to direct Maxim as to whether such disclosure is permissible.  Maxim delivers a copy of its privacy policy to all clients on an annual basis.

 To conduct regular business, we may collect personal information from sources such as:

  • Information reported by the client on applications or other forms the client provides to Maxim;
  • Information about the client’s transactions implemented by others and viewable by Maxim;
  • Information developed as part of analyses or investment advisory services.

To administer, manage, service, and provide related services for clients’ accounts, it is necessary for Maxim to provide access to customer information within the firm and to non-affiliated companies with whom Maxim has entered into agreements with.  To provide the utmost service, we may disclose the information below regarding customers and former customers, as necessary, to companies to perform certain services on Maxim ’s behalf.

  • Information Maxim receives from the client on applications (name, social security number, address, assets, etc.);
  • Information about the client’s transactions with Maxim or others (account information, payment history, parties to transactions, etc.);
  • Information concerning investment advisory account transactions;
  • Information about a client’s financial products and services with Maxim.

We maintain the confidentiality of the information that its clients provide.  We work to protect client information by meeting all laws setting forth procedures for providing physical, electronic, and procedural safeguards that comply with federal regulations to guard your nonpublic personal information.

All people who work for Maxim are trained to handle client’s information properly in order to maintain its security.  Maxim also restricts access to personal information about clients to only those employees who need such information to provide service(s) to the client.  Maxim does not sell or market clients’ or prospective clients’ personal information to third parties.  Maxim does not disclose any information about its clients or former clients to anyone, except as needed by our service providers (e.g. broker, accountants, attorneys and auditors) or as required by law.